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RIA / WealthAdvisorCertified Financial Planner23 years in industry

Darren J Walloch

Advisor at HIGHTOWER ADVISORS, LLC

Woodstock, IL | CHICAGO, IL

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Search this name across graphsid dfx:ria:6e068b0f-c6de-1968-03ee-1f75ea35aae7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jan 15, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 9, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 9, 2002
First registration: Jan 15, 2003
Dual registered: no
Other names: DARREN JAMES WALLOCH
IAPD individual key: 1377259

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Sep 29, 2020	n/a	yes	CHICAGO, IL\|Woodstock, IL	Current employment
FRONTIER INVESTMENT MANAGEMENT CO	Former SEC adviser	Jul 13, 2018	Nov 16, 2020	no	WOODSTOCK, IL\|DALLAS, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 3, 2011	Jan 28, 2014	no	Dallas, TX	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Mar 10, 2009	Nov 10, 2009	no	IRVING, TX\|MCKINNEY, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 4, 2008	Mar 9, 2009	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 4, 2008	Mar 9, 2009	no	FORT WORTH, TX	Previous registration
WALLOCH CAPITAL ADVISORS	n/a	Jun 26, 2007	Nov 15, 2007	no	MCKINNEY, TX	Previous registration
GFN CAPITAL MANAGEMENT	Independent wealth	May 30, 2006	Nov 7, 2007	no	RICHARDSON, TX	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Jan 15, 2003	Jun 16, 2006	no	DALLAS, TX\|DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FRONTIER INVESTMENT MANAGEMENT CO	HIGHTOWER ADVISORS, LLC	Nov 16, 2020	Sep 29, 2020	-48	Bulk transfer	RIA to ibd
CHARLES SCHWAB & CO., INC.	FRONTIER INVESTMENT MANAGEMENT CO	Jan 28, 2014	Jul 13, 2018	1,627	Firm change after gap	Ibd to RIA
THRIVENT INVESTMENT MANAGEMENT INC.	CHARLES SCHWAB & CO., INC.	Nov 10, 2009	Oct 3, 2011	692	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	THRIVENT INVESTMENT MANAGEMENT INC.	Mar 9, 2009	Mar 10, 2009	1	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 9, 2009	Apr 4, 2008	-339	Channel change	Other
WALLOCH CAPITAL ADVISORS	TD AMERITRADE, INC.	Nov 15, 2007	Apr 4, 2008	141	Firm change	Other
GFN CAPITAL MANAGEMENT	WALLOCH CAPITAL ADVISORS	Nov 7, 2007	Jun 26, 2007	-134	Firm change after gap	Other
FSC SECURITIES CORPORATION	GFN CAPITAL MANAGEMENT	Jun 16, 2006	May 30, 2006	-17	Firm change	Other

Relationships

Registered with (9)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Sep 29, 2020 to presentfactForm ADV
→ FRONTIER INVESTMENT MANAGEMENT CORegistered adviserregistration: previous registration
Jul 13, 2018 to Nov 16, 2020factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 3, 2011 to Jan 28, 2014factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Mar 10, 2009 to Nov 10, 2009factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 4, 2008 to Mar 9, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 4, 2008 to Mar 9, 2009factForm ADV
→ WALLOCH CAPITAL ADVISORSRegistered adviserregistration: previous registration
Jun 26, 2007 to Nov 15, 2007factForm ADV
→ GFN CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 30, 2006 to Nov 7, 2007factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 15, 2003 to Jun 16, 2006factForm ADV

Dated events

No dated event names this entity yet.