Darren Brich is a registered investment advisor, based in Lake Geneva, WI, with 28 years of industry experience. Darren is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Lake Geneva, WI
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Hartford Funds
October 2020 - Present · 6 yrs
Hartford Funds Distributors, LLCBroker
October 2020 - Present · 6 yrs
Hartford Funds Distributors, LLC
October 2020 - Present · 6 yrs
Previous Registrations
Nuveen Asset Management, LLC
April 2011 - August 2020 · 9 yrs 4 mos
Nuveen Securities, LLCBroker
January 2011 - August 2020 · 9 yrs 7 mos
Quasar Distributors, LLCBroker
June 2005 - January 2011 · 5 yrs 7 mos
Deutsche Investment Management Americas INC.
July 2003 - April 2005 · 1 yr 9 mos
Scudder Distributors, INC.Broker
May 1998 - April 2005 · 6 yrs 11 mos
State Registrations2 states
ILWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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