Derek Anderson Wallen
AIF®Professional Summary
Derek Anderson Wallen, AIF® is a registered financial advisor currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island. Derek is registered as a RR (Registered Representative) and started their career in finance in 1991. Derek has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262Phone Number
(800) 237-8132Established
Delaware since 01/01/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | — |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | — |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| WALLEN, DEREK ANDERSON | SENIOR VICE PRESIDENT | 2174696 |
Disclosures
Regulatory Event
3Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/26/1995)
(1/26/1995)
(2/2/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
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(1/27/1995)
(1/26/1995)
(1/31/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/31/1995)
(1/26/1995)
(1/26/1995)
(10/14/1991)
(1/26/1995)
(1/27/1995)
(1/31/1995)
(1/30/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(2/3/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/27/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(2/13/1995)
(1/26/1995)
(2/3/1995)
(1/27/1995)
(1/26/1995)
(1/26/1995)
(1/30/1995)
(1/26/1995)
(1/26/1995)
(1/26/1995)
(1/27/1995)
(1/31/1995)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1991About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2007About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Derek Anderson Wallen's CRS (Customer Relationship Summary).
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