Derrick D. Demay

KAIZEN WEALTH MANAGEMENT

Charleston, SC 29401

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CRD#: 2588120

Professional summary

Derrick Daniel Demay is a registered financial advisor currently at KAIZEN WEALTH MANAGEMENT, LLC located in Charleston, South Carolina.

Derrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Derrick has worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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 Derrick Daniel Demay'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

June 24, 2004 - Present

KAIZEN WEALTH MANAGEMENT, LLC

Office #1: 18 Broad Street, Suite 202, Charleston, SC 29401

RIA

CRD#: 131466

Charleston, SC

Past

August 11, 2000 - July 6, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLESTON, SC

Past

August 11, 2000 - July 6, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 28, 1997 - August 14, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 1, 1995 - October 14, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

New York
(10/5/2021)

IAR

South Carolina
(6/24/2004)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/6/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/31/1995

General Securities Representative Examination

Current Firm

KAIZEN WEALTH MANAGEMENT, LLC

CRD#: 131466 / SEC#: 801-63158

RIA

Registered Investment Advisory firm - (1/26/2005 Terminated)

Florida

Registered Investment Advisory firm - (12/3/2009 Terminated)

New York

Registered Investment Advisory firm - (1/24/2005 Approved)

North Carolina

Registered Investment Advisory firm - (11/20/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (11/23/2004 Approved)

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).

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Contact information

Main Address

18 Broad Street Suite 300, Charleston, SC 29401

Mailing Address

18 Broad Street Suite 300, Charleston, SC 29401

Phone number

(212) 362-3250

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	104
AUM (Assets Under Management)	$ 58,496,304

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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Derrick D. Demay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derrick Daniel Demay's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAIZEN WEALTH MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1996

Series 63

Date: 6/12/1995

Series 31

Date: 11/6/1997

Series 7

Date: 5/31/1995

Current Firm

KAIZEN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KAIZEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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