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DT

Darren M. Tapley

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
SOUTH MERIDEN, CT 06451
Some features on this profile are disabled
CRD#: 4751707
DT

Professional summary

Darren M Tapley is a registered financial advisor currently at NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC located in South Meriden, Connecticut.

Darren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Darren has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
Beat the Street Community Center-Not investment related-121 South Colony Street, Merden, CT, 06450-Non-Profit Community Center-Board Member-4/25/2019-5 hrs/mth-0 during trading hrs-On the board of directors for Beat The Street Community Center, a non-profit. Attend monthly Board meetings, work on strategy for Nonprofit and oversee budget & Executive Director.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren M Tapley'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

November 15, 2005 - Present

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

Office #1: 79 Main Street, South Meriden, CT 06451
RIA
CRD#: 109203
SOUTH MERIDEN, CT
Past

January 2, 2013 - October 3, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
SOUTH MERIDEN, CT
Past

March 15, 2004 - December 31, 2012

HARVEST CAPITAL LLC

BD
CRD#: 35723
SOUTH MERIDEN, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203 / SEC#: 801-57122

RIA
Registered Investment Advisory firm - (12/30/1999 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(11/15/2005)
IAR
Texas
(4/16/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/12/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 11/20/2007
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/15/2006
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NE
NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC
ELM CITY WEALTH MANAGEMENT | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203 / SEC#: 801-57122

RIA
Registered Investment Advisory firm - (12/30/1999 Approved)
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Contact information

Main Address
79 Main Street, South Meriden, CT 06451-5118
Mailing Address
Phone number
(203) 935-0265
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NEW ENGLAND CAPITAL FINANCIAL ADVISORS (3/26/2025)

Regulatory assets under management

Total Number of Accounts2,152
AUM (Assets Under Management)$ 600,040,689

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.

Company Information

NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC

CRD#: 109203South Meriden, CT 06451

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