Derek V. States
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 Vaughn States was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1988. Derek had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1992 - June 17, 1992
DEL MAR SECURITIES, INC.
June 19, 1990 - August 22, 1990
ALPINE SECURITIES CORPORATION
November 21, 1989 - February 13, 1990
TRI-BRADLEY INVESTMENTS
November 17, 1988 - September 16, 1989
MARSHALL DAVIS, INC.
October 19, 1988 - November 28, 1988
WILLIAM BARTON FINANCIAL, 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
Current Firm
DEL MAR SECURITIES, INC.
CRD#: 14411 / SEC#: , 8-30644
Contact information
Documents
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.
