Denise Farkas has been an investment adviser representative at Sage Rhino Capital since December 2017, and is not listed among the firm’s executive officers or direct owners.
Sage Rhino Capital LLC is a Menlo Park, CA firm with $884M under management, 196 clients and 4 advisers in one office, as of its March 2026 filing.
Denise Farkas’ longest registration is the current one, 8 years at Sage Rhino Capital since 2017. Before joining Sage Rhino Capital in 2017, Denise Farkas was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Investment Services, Inc.
- Sage Rhino Capital LLCCurrent– present · 8 yearsMenlo Park, CA · Adviser representative · Firm CRD 290148
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 5 yearsMenlo Park, CA · Adviser representative · Firm CRD 7691
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsLaguna Niguel, CA · Adviser representative · Firm CRD 7691
- Banc of America Investment Services, Inc.– · under a yearLaguna Niguel, CA · Adviser representative · Firm CRD 16361
Investment adviser representative registrations
Denise Farkas is registered as an investment adviser representative in California, since December 2017.
- CaliforniaSince 15 December 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 April 2009 |
| Series 7 | General Securities Representative Examination | 10 February 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 April 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 March 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Denise Helen Farkas
- CRD
- 5108996
- Firm
- Sage Rhino Capital · CRD 290148
- Office
- 101 JEFFERSON DRIVE, Menlo Park, CA 94025
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Denise Farkas work?
Denise Farkas is an investment adviser representative registered through Sage Rhino Capital LLC since December 2017, and is not listed among the firm’s executive officers or direct owners.
Is Denise Farkas a financial advisor?
Yes. Denise Farkas has a current investment-adviser registration in California, through Sage Rhino Capital since December 2017.
How many years of experience does Denise Farkas have?
Denise Farkas has 20 years in the financial industry, since May 2006, across 3 adviser firms.
What exams has Denise Farkas passed?
Denise Farkas has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in March 2006. FINRA credited Denise Farkas with the SIE, which began in October 2018.
Where did Denise Farkas work before Sage Rhino Capital?
Before Sage Rhino Capital, Denise Farkas was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2009 to June 2012; Banc of America Investment Services, Inc., April 2009 to October 2009.
Where is Denise Farkas based?
Denise Farkas’ registered office is in Menlo Park, CA.
Is Denise Farkas registered with FINRA?
No. Denise Farkas has no current broker registration.
How can I verify Denise Farkas’ record?
Search CRD 5108996 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Denise Farkas’ full registration record.