Derrick K. Williams

CETERA INVESTMENT ADVISERS LLC

Clayton, NC

Some features on this profile are disabled

CRD#: 2435497

Professional summary

Derrick Keith Williams, who also goes by Derick Keith Williams, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clayton, North Carolina and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Derrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Derrick has worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derick Keith Williams

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 Derrick Keith Williams'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®

None

Experience

Current

August 21, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Clayton, NC

Current

September 8, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

September 8, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

September 8, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

March 20, 2023 - August 17, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ATLANTA, GA

Past

September 12, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ATLANTA, GA

Past

February 16, 2022 - August 22, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ATLANTA, GA

Past

January 17, 2022 - August 22, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 19, 2019 - January 17, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Atlanta, GA

Past

March 14, 2018 - January 17, 2022

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

February 23, 2016 - March 2, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

ATLANTA, GA

Past

September 25, 2013 - February 11, 2016

QUESTAR CAPITAL CORPORATION

CRD#: 43100

WOODSTOCK, GA

Past

July 20, 2007 - October 7, 2013

TRIAD ADVISORS LLC

CRD#: 25803

NORCROSS, GA

Past

May 10, 2002 - May 16, 2007

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

October 4, 1996 - November 2, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 26, 1995 - November 20, 1995

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

July 27, 1994 - September 19, 1994

MARVIN TERRY AND COMPANY INC

CRD#: 27899

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

North Carolina
(8/17/2023)

IAR

North Carolina
(8/21/2023)

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: 3/16/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/3/1996

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: 8/5/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/26/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Derrick K. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derrick Keith Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

OPPENHEIMER & CO. INC.

QUESTAR CAPITAL CORPORATION

TRIAD ADVISORS LLC

TRUIST INVESTMENT SERVICES, INC.

TD AMERITRADE, INC.

BERKSHIRE EQUITY SALES, INC.

MARVIN TERRY AND COMPANY INC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2019

Series 63

Date: 9/3/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1996

Series 6

Date: 7/26/1994

Series 24

Date: 7/23/2010

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors