Darrin D. Peller

WOLFE RESEARCH SECURITIES

New York, NY 10017

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CRD#: 4861242

Professional summary

Darrin David Peller, who also goes by Darrin D Peller, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.

Darrin is registered as a RR (Registered Representative) and started their career in finance in 2005. Darrin has worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

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Aliases

Darrin D Peller

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darrin David Peller's 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

July 11, 2018 - Present

WOLFE RESEARCH SECURITIES

Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017

CRD#: 151850

New York, NY

Past

September 22, 2008 - July 16, 2018

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

September 13, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

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

New York
(7/11/2018)

Exams

State Security Law Exam

Series 63

Date: 9/14/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 12/23/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/29/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/12/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WOLFE RESEARCH SECURITIES

WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

757 Third Avenue Sixth Floor, New York, NY 10017-2013

Mailing Address

757 Third Avenue Sixth Floor, New York, NY 10017-2013

Phone number

(646) 845-0700

Established

New York since 08/03/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WOLFE HOLDCO, LLC	SOLE OWNER
JORDAN, FRANCIS	CFO/FINOP	5634167
PALLANTE, SANDRA MARIE	GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	2018926
RYAN, PETER WILLIAM	VICE CHAIRMAN	2009055
WOLFE, EDWARD MARK	CEO	2804319

Disclosures

Regulatory Event

Red Flags

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Darrin D. Peller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darrin David Peller's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/2005

SIE

Date: 10/1/2018

Series 86

Date: 12/23/2005

Series 87

Date: 11/29/2005

Series 7

Date: 9/12/2005

Series 24

Date: 8/27/2018

FINRA

Current Firm

WOLFE RESEARCH SECURITIES

Contact information

FINRA licenses (48 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WOLFE RESEARCH SECURITIES

TRUST BUT VERIFY

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