Douglas G. Hyepock

J.DEREK LEWIS & ASSOCIATES

Newport Beach, CA 92660-2820

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CRD#: 2282539

Professional summary

Douglas Glenn Hyepock, CFP®, ChFC® is a registered financial advisor currently at J.DEREK LEWIS & ASSOCIATES, INC. located in Newport Beach, California and JDL SECURITIES CORPORATION located in Newport Beach, California.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Douglas has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Glenn Hyepock's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2001

ChFC^®

Chartered Financial Consultant

Experience

Current

January 29, 2008 - Present

J.DEREK LEWIS & ASSOCIATES, INC.

Office #1: 1001 Dove Street Suite 155, Newport Beach, CA 92660-2820

RIA

CRD#: 122307

Newport Beach, CA

Current

March 4, 2008 - Present

JDL SECURITIES CORPORATION

Office #1: 1001 Dove Street, Suite 160, Newport Beach, CA 92660-2816

CRD#: 28131

Newport Beach, CA

Past

November 16, 1994 - November 16, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 25, 1992 - September 19, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 25, 1992 - September 19, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

J.DEREK LEWIS & ASSOCIATES, INC.

CRD#: 122307 / SEC#: 801-67339

RIA

Registered Investment Advisory firm - (12/4/2006 Approved)

California

Registered Investment Advisory firm - (12/12/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(3/16/2010)

IAR

Arizona
(5/14/2015)

IAR

California
(1/29/2008)

California
(3/12/2008)

Colorado
(3/16/2010)

IAR

Colorado
(4/30/2015)

IAR

Georgia
(5/26/2021)

Idaho
(11/25/2013)

IAR

Idaho
(5/25/2021)

IAR

Kansas
(5/25/2021)

IAR

Kentucky
(3/7/2025)

IAR

Michigan
(5/25/2021)

IAR

Missouri
(5/25/2021)

IAR

Nevada
(5/27/2020)

IAR

New Mexico
(7/14/2025)

IAR

North Carolina
(6/27/2022)

Oregon
(11/17/2011)

IAR

Oregon
(9/8/2020)

IAR

Pennsylvania
(7/20/2020)

Texas
(3/16/2010)

IAR

Texas
(5/26/2014)

IAR

Utah
(6/28/2022)

IAR

Virginia
(3/7/2025)

Washington
(3/16/2010)

IAR

Washington
(4/30/2015)

IAR

Wyoming
(6/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/7/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J.DEREK LEWIS & ASSOCIATES, INC.

CRD#: 122307 / SEC#: 801-67339

RIA

Registered Investment Advisory firm - (12/4/2006 Approved)

California

Registered Investment Advisory firm - (12/12/2006 Terminated)

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Contact information

Main Address

1001 Dove Street Suite 155, Newport Beach, CA 92660-2820

Mailing Address

Phone number

(949) 752-9096

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV - JDLA - 2024 ANNUAL FILING (11/25/2024)

Regulatory assets under management

Total Number of Accounts	7,459
AUM (Assets Under Management)	$ 1,782,416,346

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.

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Firm Stability Insights

Douglas G. Hyepock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Glenn Hyepock's CRS (Customer Relationship Summary).

Certified licenses

Experience

JDL SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

J.DEREK LEWIS & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2008

Series 63

Date: 12/4/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2008

Series 24

Date: 2/28/2011

FINRA

Current Firm

J.DEREK LEWIS & ASSOCIATES, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J.DEREK LEWIS & ASSOCIATES, INC.

TRUST BUT VERIFY

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