CARIS INVESTMENT PARTNERS, INC.
Regulated Entity Broker-Dealers and Investment Advisers
CRD Number
305511
Doing Business As (DBA)
CARIS INVESTMENT PARTNERS
Registration Type
Registered
Additional Information
Address1
189 HALCYON RD
City
ENCINITAS
State
CA
Zip
92024
Actions and Orders
License or Case Number
CRD # 305511 and CRD # 2400176
Date of Initial Action
09/10/2025
Defendant/Respondent
Caris Investment Partners, Inc.; Darren J. Caris
Documents
- 09/10/25 – Accusation (PDF)
- 10/21/25 – Settlement Agreement (PDF)
Documents
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More Information
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