Derek J. Gottschall

LPS CAPITAL LLC

NEW YORK, NY 10022

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CRD#: 2520497

Professional summary

Derek John Gottschall, who also goes by Dj Gottschall, is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York and 22V SECURITIES LLC located in Garden City, New York.

Derek is registered as a RR (Registered Representative) and started their career in finance in 1994. Derek has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dj Gottschall

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) - BD

Click below to view Derek John Gottschall'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®

None

Experience

Current

July 31, 2024 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022

CRD#: 155246

NEW YORK, NY

Current

July 2, 2025 - Present

22V SECURITIES LLC

Office #2: 10 East 53rd Street 6th Floor, New York, NY 10021

CRD#: 327657

GARDEN CITY, NY

Past

August 24, 2015 - August 12, 2024

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

September 11, 1995 - August 26, 2015

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

February 16, 1995 - August 17, 1995

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 29, 1994 - November 16, 1994

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

State Registrations and Notice Filings

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

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

California
(7/31/2024)

Connecticut
(7/31/2024)

Florida
(7/31/2024)

Illinois
(7/31/2024)

Massachusetts
(7/31/2024)

New Jersey
(7/31/2024)

New York
(7/31/2024)

Pennsylvania
(7/31/2024)

Exams

State Security Law Exam

Series 63

Date: 10/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/7/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/14/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

22V SECURITIES LLC

CRD#: 327657 / SEC#: , 8-71197

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

15 Rockaway Avenue, Garden City, NY 11530

Mailing Address

15 Rockaway Avenue, Garden City, NY 11530

Phone number

(646) 273-4500

Established

Delaware since 08/04/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CRICKET ACQUISITION LLC	MEMBER
DEBUSSCHERE, DENNIS MICHAEL MR	MEMBER	4133413
GROVE GLOBAL ENTERPRISES LLC	MEMBER
GOODE, JACQUELINE MARIE	FINOP/CCO	1292607
GRIFFIN, NEAL DAVID EVANS	CHIEF EXECUTIVE OFFICER	2161416

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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Advisor Monitoring

Firm Stability Insights

Derek J. Gottschall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek John Gottschall's CRS (Customer Relationship Summary).

Certified licenses

Experience

22V SECURITIES LLC

CANACCORD GENUITY LLC

COWEN EXECUTION SERVICES LLC

PERSHING LLC

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/7/1999

Series 7

Date: 9/28/1994

Series 24

Date: 11/14/2022

FINRA

Current Firm

22V SECURITIES LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

22V SECURITIES LLC

TRUST BUT VERIFY

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