PD
Paula F. Derwick
CETERA INVESTMENT ADVISERS LLC
OLEAN, NY 14760
Some features on this profile are disabled
CRD#: 2079152
PD
Professional summary
Paula Fox Derwick, CFP®, who also goes by Paula Jane Fox, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olean, New York and CETERA WEALTH SERVICES, LLC located in Olean, New York.
Paula is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Paula has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paula Jane Fox
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: 7/1999 APX # OF HRS/WK: 5 APX # OF HRS DUR TRD HRS: 5 TITLE/ INSURANCE AGENT DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: FOX HOLDINGS, INC DBA H&R BLOCK AND FOX FINANCIAL SERVICES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MANAGEMENT OF 6 H&R BLOCK OFFICES, TAX ADVISOR START: 12/1998 TITLE: PRESIDENT, SHAREHOLDER APX # OF HRS/WK & DUR TRD HRS: 40 DUTIES: PRESIDENT, SHAREHOLDER 3. NAME OF OTHER BUSINESS: PETER SALIGMAN INDENTURE TRUST INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TRUSTEE START: 10/2020 TITLE: TRUSTEE APX # OF HRS/WK & DUR TRD HRS: MINIMAL DUTIES: PAY LIFE INSURANCE PREMIUM ONCE PER YEAR. THE GRANTOR ONLY DEPOSITS THE AMOUNT TO PAY THE ANNUAL LIFE INSURANCE PREMIUM, THE GRANTOR RECEIVES CONFIRMATION THAT THE PREMIUM HAS BEEN PAID. 4. NAME OF OTHER BUSINESS: W&S FOX LMTD FAMILY PARTNERSHIP INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: THE PARTNERSHIP OWNS COMMERCIAL AND RESIDENTIAL REAL ESTATE. START: 4/1996 TITLE: LIMITED PARTNER APX # OF HRS/WK & DUR TRD HRS: MINIMAL DUTIES: NONE AT THIS TIME. AFTER MY PARENTS PASS, THE PARTNERSHIP WILL THEN BE OWNED BY MY BROTHER & ME EQUALLY AND WE WILL MANAGE THE PROPERTIES AS EQUAL OWNERS. THE PARTNERSHIP OWNS COMMERCIAL AND RESIDENTIAL REAL ESTATE. 5. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TRUSTEE AND EXECUTOR, START: 1/2022, TITLE: TRUSTEE AND EXECUTOR, APX # OF HRS/WK & DUR TRD HRS: VARIES, DUTIES: TRUSTEE AND EXECUTOR FOR NEIGHBOR; 6. NAME OF OTHER BUSINESS: PAULA FOX DERWICK DBA FOX FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT SERVICES START: 9/1990 TITLE: OWNER APX # OF HRS/WK & DUR TRD HRS: 40; DUTIES: MANAGE INVESTMENT REPRESENTATIVES, CREATE AND IMPLEMENT FINANCIAL PLANS FOR CLIENTS 7. NAME OF OTHER BUSINESS: HOPE CENTER ; INVESTMENT RELATED: NO; ADDRESS: 920 N 44TH ST OLEAN, NY 14760 ; NATURE OF BUSINESS: NON PROFIT ; START: 10/2021 ; TITLE: BOARD MEMBER ; APX # OF HRS/WK & DUR TRD HRS: 1 ; DUTIES: ATTEND MEETINGS, ABIDE BY CENTERS MISSION AND VALUES, VOTE ON ISSUES; 8. NAME OF OTHER BUSINESS: HEART OF OLEAN MURAL PROJECT, INVESTMENT RELATED: NO, ADDRESS: P.O. BOX 406, OLEAN, NY, 14760, NATURE OF BUSINESS: ART, START: 8/2022, TITLE: VOLUNTEER, APX # OF HRS/WK: 5, NOT DUR TRD HRS, DUTIES: ASSISTANCE AS NEEDED, MAILING FLYERS; 9. NAME OF OTHER BUSINESS: ARCHBISHOP WALSH ACADEMY; INVESTMENT RELATED: NO; ADDRESS: 208 N 28TH ST, OLEAN, NY, 14760; NATURE OF BUSINESS: FUNDRAISING COMMITTEE; START:08/2022; TITLE: FUNDRAISING TEAM MEMBER; APX # OF HRS/WK & DUR TRD HRS; DUTIES: SOLICIT DONATIONS BUT WILL NOT BE INVOLVED IN COLLECTING, DEPOSITING ANY FUNDS. JUST A PROMOTIONAL RESPONSIBILITY; 10. NAME OF OTHER BUSINESS: CHRIST UNITED METHODIST CHURCH; INVESTMENT RELATED: NO; ADDRESS: 633 LINWOOD AVE, OLEAN, NY 14760; NATURE OF BUSINESS: BOARD; START: 8/2024; TITLE: COMMITTEE MEMBER; APX # OF HRS/WK: 4; APX # OF HRS DUR TRD HRS: 1; BRIEF DESCRIPTION OF DUTIES: MEMBER OF STAFF PARISH RELATIONS COMMITTEE - LEADS THE HUMAN RESOURCE AREA OF THE CHURCH'S STAFF/PASTOR AND ACTS AS A LIAISON BETWEEN THIS GROUP AND CONGREGANTS; 11. NAME OF OTHER BUSINESS: NEIGHBORHOOD MUSEUM OF PLAY, INVESTMENT RELATED: NO, ADDRESS: 609 S UNION ST, OLEAN, NY 14760. NATURE OF BUSINESS: NON-PROFIT, START DATE: 05/2025, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: ATTENDANCE AT BOARD MEETINGS AND BE AN ACTIVE MEMBER FOR THE ORGANIZATION;
CRS (Client Relationship Summary) - RIA
Click below to view Paula Fox Derwick'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®
CFP®
Start date: 1992
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 487 N Union St, Olean, NY 14760RIA
CRD#: 105644
OLEAN, NY
Current
October 30, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 487 N Union St, Olean, NY 14760BD
CRD#: 13572
Olean, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BUFFALO, NY
Past
September 28, 2017 - November 6, 2020
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Olean, NY
Past
April 9, 2007 - December 31, 2011
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
OLEAN, NY
Past
October 5, 1990 - November 6, 2020
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BRADFORD, PA
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
California(1/16/2025)
RR
Colorado(10/30/2020)
RR
Florida(10/30/2020)
RR
Illinois(10/30/2020)
RR
Kentucky(10/30/2020)
RR
Maryland(1/4/2022)
RR
Michigan(3/17/2025)
RR
Mississippi(10/30/2020)
RR
Missouri(1/13/2021)
RR
New Jersey(10/30/2020)
RR
New York(10/30/2020)
IAR
New York(6/29/2023)
RR
North Carolina(11/13/2020)
RR
North Dakota(1/6/2021)
RR
Ohio(10/30/2020)
RR
Pennsylvania(10/30/2020)
RR
South Carolina(10/30/2020)
RR
Virginia(10/30/2020)
RR
Wisconsin(10/30/2020)
Exams
State Security Law Exam
State Security Law 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.
