KD
Karlton L. Derrick
CETERA INVESTMENT ADVISERS LLC
NEW YORK, NY
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CRD#: 1060710
KD
Professional summary
Karlton Lewis Derrick is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Karlton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Karlton has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES (2) NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES (3) NAME OF OTHER BUSINESS: FFRIEND ENTERPRISES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE SERVICES START DATE: 2000 POSITION/TITLE/RELATIONSHIP: AGENT APX NUMBER OF HOURS PER WEEK: 10-15 APX NUMBER OF HOURS DURING TRADING HOURS: 10-15 BRIEF DESCRIPTION OF DUTIES: SALES (4) NAME OF OTHER BUSINESS: CBS SPORTS INVESTMENT RELATED: NO ADDRESS: NEW YORK, NY NATURE OF BUSINESS: SPORTS & ENTERTAINMENT START DATE: 8/2014 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: 4 - DURING SEASON APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MONITOR NFL GAMES (5) NAME OF OTHER BUSINESS: K.L. DERRICK INVESTMENT RELATED: NO ADDRESS: NEW YORK, NY NATURE OF BUSINESS: SPORTS & ENTERTAINMENT START DATE: 9/2003 POSITION/TITLE/RELATIONSHIP: REPLAY OFFICIAL APX NUMBER OF HOURS PER WEEK: 10 - DURING SEASON APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MONITOR GAMES ON LOCATION AND CHECK VIDEO EVIDENCE OF REVIEWABLE ERRORS; (6) NAME OF OTHER BUSINESS: CIP FOOTBALL OFFICIALS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SPORTS & ENTERTAINMENT; START DATE: 08/2024; POSITION/TITLE/RELATIONSHIP: REPLAY OFFICIAL; APX NUMBER OF HOURS PER WEEK: 36; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: COLLEGE FOOTBALL OFFICIATING, DECIDING THE REVIEWBLE ASPECTS OF ASSIGNED GAMES;
CRS (Client Relationship Summary) - RIA
Click below to view Karlton Lewis Derrick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Current
February 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEW YORK, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 20, 2008 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
new york, NY
Past
November 4, 1999 - August 22, 2008
RNR SECURITIES, L.L.C.
BD
CRD#: 43689
EAST MEADOW, NY
Past
February 18, 1998 - October 7, 1999
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
December 19, 1994 - December 5, 1997
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
November 17, 1992 - December 16, 1994
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
August 20, 1982 - November 10, 1992
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(8/19/2024)
RR
Delaware(2/11/2022)
RR
Florida(4/5/2019)
RR
Georgia(2/1/2019)
RR
New Jersey(2/13/2019)
RR
New York(2/1/2019)
IAR
New York(6/29/2023)
RR
North Carolina(2/21/2019)
RR
Ohio(4/25/2019)
RR
Tennessee(6/15/2020)
RR
Virginia(2/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
