Darren M Tapley

Current Employers

New England Capital Financial Advisors Llc

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-04-16
CT	RA	APPROVED	2005-11-15

TX RA
APPROVED_RES

Since 2014-04-16
CT RA
APPROVED

Since 2005-11-15

Branch Locations

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
New England Capital Financial Advisors, Llc	Wallingford	CT	05/2002	Present
Purshe Kaplan Sterling	Albany	NY	01/2013	09/2023

05/2002 → Present

New England Capital Financial Advisors, Llc

Wallingford, CT
01/2013 → 09/2023

Purshe Kaplan Sterling

Albany, NY

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-11-14
S63	Uniform Securities Agent State Law Examination	2004-03-16

S65 Uniform Investment Adviser Law Examination

2005-11-14
S63 Uniform Securities Agent State Law Examination

2004-03-16