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DB

Derek J. Bruton

Some features on this profile are disabled
CRD#: 2287900
DB

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.

Derek Jerold Bruton, who also goes by Derek Bruton, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 1996. Derek had worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 2, Series 9, Series 10, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Bruton

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 18, 2023 - December 11, 2025

REALTA EQUITIES, INC.

BD
CRD#: 23769
PLYMOUTH MEETING, PA
Past

March 15, 2023 - December 11, 2025

REALTA INVESTMENT ADVISORS, INC

RIA
CRD#: 134952
Plymouth Meeting, PA
Past

April 15, 2018 - August 24, 2021

KINGSWOOD WEALTH ADVISORS, LLC

RIA
CRD#: 288792
SAN DIEGO, CA
Past

April 15, 2018 - August 24, 2021

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
San Diego, CA
Past

July 11, 2017 - April 13, 2018

FREEDOM INVESTMENTS, INC.

BD
CRD#: 37674
EDISON, NJ
Past

November 4, 2016 - April 13, 2018

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

November 4, 2016 - April 13, 2018

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

August 5, 2014 - August 15, 2016

LUCIA CAPITAL GROUP

RIA
CRD#: 152396
SAN DIEGO, CA
Past

August 5, 2014 - August 15, 2016

LUCIA SECURITIES, LLC

BD
CRD#: 37179
SAN DIEGO, CA
Past

April 7, 2008 - April 28, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

March 22, 2005 - August 14, 2007

TD AMERITRADE, INC.

BD
CRD#: 7870
JERSEY CITY, NJ
Past

November 8, 2001 - March 17, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 6, 1996 - August 8, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 10/5/1992
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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.

Company Information

REALTA EQUITIES, INC.

CRD#: 23769

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