Darren L. Neuschwander
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Darren Lee Neuschwander was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 2002. Darren had worked at 5 firms and has passed the Series 63, Series 66, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2011 - December 6, 2016
STM ASSET MANAGEMENT LLC
August 17, 2010 - January 27, 2011
AVANTAX INVESTMENT SERVICES, INC.
February 2, 2006 - April 24, 2006
1717 CAPITAL MANAGEMENT COMPANY
June 21, 2004 - December 17, 2004
1ST GLOBAL ADVISORS INC
June 21, 2004 - December 17, 2004
1ST GLOBAL CAPITAL CORP.
October 7, 2002 - March 17, 2003
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STM ASSET MANAGEMENT LLC
CRD#: 150213 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 52,735,463 |
Red Flags
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