Derik Allerton
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.
Derik Allerton was a registered financial professional .
Derik is a previously registered financial professional and started their career in finance in 1994. Derik had worked at 7 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 6, 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
March 5, 2007 - May 5, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
April 7, 2004 - March 20, 2007
JVB FINANCIAL GROUP, LLC
October 8, 2002 - April 27, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
April 10, 2002 - April 27, 2004
WESTERN SECURITIES CLEARING CORP.
October 3, 2000 - April 26, 2004
FIRST ALLIED SECURITIES, INC.
February 5, 1996 - October 26, 2000
D.E. FREY & COMPANY, INC.
May 25, 1994 - August 8, 1995
INVESCO DISTRIBUTORS, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
