Derrick L. Kelson
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.
Derrick Lakeith Kelson, CFP®, who also goes by Derrick Kelson, was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 1996. Derrick had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
March 4, 2013 - September 5, 2013
WALNUT STREET SECURITIES, INC.
March 4, 2013 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
March 4, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
March 4, 2013 - November 2, 2023
METLIFE INVESTORS DISTRIBUTION COMPANY
November 29, 2005 - July 26, 2016
MSI FINANCIAL SERVICES, INC.
November 28, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 28, 2005 - July 26, 2016
MSI FINANCIAL SERVICES, INC.
March 21, 2003 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
September 19, 1997 - December 31, 2005
CITISTREET EQUITIES LLC
April 16, 1996 - October 6, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 16, 1996 - October 6, 1997
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
