Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DARREN ROBERT LA FEMINA
DARREN ROBERT LAFEMINA
CRD#: 5275042
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9875 SCHWAB WAY
LONE TREE, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
2008201020122014201620182020202220242026IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2012 - Present (13 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - Present (16 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2007 - 2008 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2008 - 2011 (3 years)
License(s)

State Registrations

B
Alabama 1/2/2013
B
Nevada 1/2/2013
B
Arizona 10/1/2008
B
New Jersey 1/2/2013
B
Arkansas 1/2/2013
B
New Mexico 1/4/2010
B
California 10/1/2008
B
New York 1/3/2012
B
Colorado 1/2/2009
B
North Carolina 1/3/2012
IA
Colorado 10/17/2013
B
Ohio 1/2/2013
B
Connecticut 5/15/2012
B
Oklahoma 1/2/2013
B
Florida 1/2/2009
B
Oregon 7/13/2011
B
Georgia 1/3/2012
B
Pennsylvania 1/4/2010
B
Illinois 1/2/2013
B
South Carolina 1/3/2012
B
Iowa 1/2/2013
B
Tennessee 1/4/2010
B
Louisiana 5/15/2012
B
Texas 1/4/2010
B
Maryland 1/3/2012
IA
Texas 1/6/2020
B
Massachusetts 1/3/2012
B
Virginia 1/2/2013
B
Michigan 9/19/2024
B
Washington 7/13/2011
B
Mississippi 1/4/2010
B
Wisconsin 1/2/2013
B
Missouri 5/21/2012
B
Wyoming 1/2/2013
B
Nebraska 1/2/2013

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9875 SCHWAB WAY, LONE TREE, CO 80124
Registered with this firm since 1/3/2012
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 10/1/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/01/2008 - 12/31/2011 CHARLES SCHWAB & CO., INC. (CRD#:5393) ENGLEWOOD, CO
B
 02/22/2007 - 04/28/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.