Darin S. Walter

CARL M. HENNIG

Oshkosh, WI 54901

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CRD#: 4516266

Professional summary

Darin Scott Walter is a registered financial professional currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin.

Darin is registered as a RR (Registered Representative) and started their career in finance in 2003. Darin has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) DOMINO'S PIZZA; ADDRESS: CIRCLE PINES MN; BUSINESS DESCRIPTION: PIZZA DELIVERY; NOT INVESTMENT RELATED; START DATE: 04/21/2014; CAPACITY: EMPLOYEE; DUTIES: DELIVERY DRIVER; HOURS DEVOTED PER MONTH: 60; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (2) UBER; ADDRESS: N/A; BUSINESS DESCRIPTION: RIDE SHARE; NOT INVESTMENT RELATED; START DATE: 10/31/2017; CAPACITY: EMPLOYEE; DUTIES: TRANSPORTATION SERVICE; HOURS DEVOTED PER MONTH: 10-15; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (3) Name: Door Dash Business Description: Food Delivery Start Date: 10/09/20 Capacity: Independent Contractor/Consultant Duties Performed: Delivering Food to customers Devoted Time: 15-20 hours, 0

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darin Scott Walter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 7, 2025 - Present

CARL M. HENNIG, INC.

Office #1: 206 North Main Street, Oshkosh, WI 54901

RIA

CRD#: 140

Oshkosh, WI

Past

December 12, 2024 - January 23, 2025

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MINNEAPOLIS, MN

Past

March 24, 2014 - January 23, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

April 17, 2007 - January 15, 2009

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

December 20, 2003 - July 14, 2006

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/7/2025)

Colorado
(1/7/2025)

Florida
(1/7/2025)

Illinois
(1/7/2025)

Minnesota
(1/7/2025)

Ohio
(1/8/2025)

Oregon
(1/7/2025)

Texas
(1/7/2025)

Wisconsin
(1/7/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/16/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARL M. HENNIG, INC.

CRD#: 140 / SEC#: , 8-14509

Illinois

Registered Investment Advisory firm - SEC (10/7/2013 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (4/4/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

206 North Main Street, Oshkosh, WI 54901-4815

Mailing Address

206 North Main Street, Oshkosh, WI 54901

Phone number

+1 (920) 231-6630

Established

Wisconsin since 01/02/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HARENBURG, THOMAS ALAN	DIRECTOR	237016
HARENBURG, SCOT ALAN	PRESIDENT/CHIEF COMPLIANCE OFFICER	2330907
CARAMANIDIS, KURT JAMES	VICE PRESIDENT	4318374

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 24,700,000

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Darin S. Walter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darin Scott Walter's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FIRST CLEARING, LLC

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2024

Series 63

Date: 8/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/24/2014

FINRA

Current Firm

CARL M. HENNIG, INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARL M. HENNIG, INC.

TRUST BUT VERIFY

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