Derek B. Nunn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Derek Barton Nunn was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1988. Derek had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2019 - August 27, 2020
COMERICA SECURITIES
February 26, 2016 - July 26, 2017
CETERA WEALTH SERVICES, LLC
January 19, 2016 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
April 7, 2010 - July 26, 2017
SUMMIT BROKERAGE SERVICES, INC.
May 20, 2008 - November 13, 2009
COLONIAL BROKERAGE, INC.
November 14, 2006 - October 8, 2007
KESTRA INVESTMENT SERVICES, LLC
June 2, 2006 - September 22, 2006
ADVISORS ASSET MANAGEMENT, INC.
June 3, 1996 - July 11, 2005
AMSOUTH INVESTMENT SERVICES, INC.
December 14, 1988 - April 17, 1989
THE STUART-JAMES COMPANY, INCORPORATED
May 10, 1988 - December 20, 1988
RAY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 5/14/2007
Limited Representative-Equity Trader ExamCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
