Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Darrell? Claim Your ProfileDarrell Ralph Baber is an investment professional with over 30 years of experience in the financial services industry. Darrell is currently registered with Wells Fargo Securities, LLC and has been with them since 2012. Prior to that, Darrell was with WELLS FARGO INSTITUTIONAL SECURITIES, LLC. Darrell holds a number of industry licenses and designations. Darrell specializes in providing financial advice to individuals and families.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
07/01/2003 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
01/20/2010 - 03/02/2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/02/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NC
10/23/1996 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
04/12/1994 - 09/27/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
IL
08/18/1987 - 07/26/1989
FIRST CHICAGO INVESTMENT SERVICES, INC. (CHICAGO IL)
BC
Issued 09/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/21/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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