DP
Derek J. Pritchard
SPC
Dublin, CA 94568
Some features on this profile are disabled
CRD#: 2265564
DP
Professional summary
Derek James Pritchard is a registered financial advisor currently at SPC located in Dublin, California and PARKLAND SECURITIES, LLC located in Dublin, California.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Derek has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. PRITCHARD ASSET MANAGEMENT; POSITION: SOLE PROPRIETOR; NATURE: FIXED INSURANCE SALES; INVESTMENT RELATED: YES; NUMBER OF HOURS: 8; SECURITIES TRADING HOURS: 8; START DATE: 12/19/2015; ADDRESS: 11501 DUBLIN BLVD, SUITE 200, DUBLIN CA 94568; DESCRIPTION: FIXED INSURANCE SALES.
2. DBA PRITCHARD ASSET MANAGEMENT; POSITION: FINANCIAL ADVISOR; NATURE: SOLE PROPRIETORSHIP; INVESTMENT RELATED: YES; NUMBER OF HOURS: 30; SECURITIES TRADING HOURS: 30; START DATE: 12/19/2014; ADDRESS: 11501 DUBLIN BLVD, SUITE 200, DUBLIN CA 94568; DESCRIPTION: SOLE PROPRIETOR, PRITCHARD ASSET MANAGEMENT. DBA PRIMARILY FOR MARKETING AND BRANDING PURPOSES. CURRENTLY SELL FIXED LIFE INSURANCE, DISABILITY INCOME INSURANCE, LTC, CRITICAL & CHRONIC ILLNESS INSURANCE, AND MAJOR MEDICAL.
3. AS A LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Derek James Pritchard'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®
NoneExperience
Current
November 6, 2017 - Present
SPC
Office #1: 11501 Dublin Blvd., Ste. 200, Dublin, CA 94568RIA
CRD#: 110692
Dublin, CA
Current
November 6, 2017 - Present
PARKLAND SECURITIES, LLC
Office #1: 11501 Dublin Blvd. Suite 200, Dublin, CA 94568BD
CRD#: 115368
Dublin, CA
Past
January 6, 2015 - November 9, 2017
OSAIC SERVICES, INC.
RIA
CRD#: 133763
DUBLIN, CA
Past
December 19, 2014 - November 9, 2017
OSAIC SERVICES, INC.
BD
CRD#: 133763
DUBLIN, CA
Past
February 23, 2009 - March 31, 2014
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
LIVERMORE, CA
Past
February 19, 2009 - March 31, 2014
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
LIVERMORE, CA
Past
August 14, 2007 - December 26, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CONCORD, CA
Past
August 14, 2007 - December 26, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CONCORD, CA
Past
May 23, 2002 - June 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SANTA CLARA, CA
Past
May 22, 2002 - June 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SANTA CLARA, CA
Past
May 2, 2001 - April 1, 2002
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
September 20, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
August 14, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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(11/6/2017)
IAR
California(11/6/2017)
RR
Nevada(11/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Company Information
SPC
CRD#: 110692Dublin, CA 94568TRUST BUT VERIFY
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