Derek L. Caldwell
Professional summary
Derek Lee Caldwell is a registered financial professional currently at INTE SECURITIES LLC located in Boca Raton, Florida.
Derek is registered as a RR (Registered Representative) and started their career in finance in 1994. Derek has worked at 3 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Derek Lee Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2007 - Present
INTE SECURITIES LLC
Office #1: 7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433Office #2: 42 Broadway, Suite 12-128, New York, NY 10004April 13, 2006 - April 5, 2007
MELHADO, FLYNN & ASSOCIATES, INC.
April 18, 1994 - March 13, 2006
SSC NY CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2013)
(3/23/2007)
(3/23/2007)
(3/23/2007)
(10/4/2016)
(3/23/2007)
(3/23/2007)
(11/10/2015)
(3/23/2007)
(3/23/2007)
(3/23/2007)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/4/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
INTE SECURITIES LLC
CRD#: 47107Boca Raton, FL 33433TRUST BUT VERIFY
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