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Darren J Caris

Caris Investment Partners

Encinitas, CA

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Current Employers
Caris Investment Partners

Encinitas, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-09-17
  • CA RA
    APPROVED
    Since 2019-09-17

Branch Locations

Encinitas, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Investment Bankers Corp Austin TX 11/2015 09/2016
Caris Global Advisors Encinitas CA 09/2016 08/2018
Western Financial Corp San Diego CA 08/2018 09/2019
Caris Investment Partners Encinitas CA 09/2019 Present
  • 11/2015 → 09/2016
    Independent Investment Bankers Corp
    Austin, TX
  • 09/2016 → 08/2018
    Caris Global Advisors
    Encinitas, CA
  • 08/2018 → 09/2019
    Western Financial Corp
    San Diego, CA
  • 09/2019 → Present
    Caris Investment Partners
    Encinitas, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-24
S63 Uniform Securities Agent State Law Examination 1996-06-26
  • S65 Uniform Investment Adviser Law Examination
    2018-09-24
  • S63 Uniform Securities Agent State Law Examination
    1996-06-26

View on SEC IAPD

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