Derek J. Sinani

IRONWOOD WEALTH ADVISORS

Scottsdale, AZ 85254

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CRD#: 2716300

Professional summary

Derek Joseph Sinani is a registered financial advisor currently at IRONWOOD WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Derek has worked at 4 firms and has passed the Series 66, Series 63 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.

1) DDBL LLC; Not Investment Related; No business activity conducted; LLC has never been utilized, but remains "active" with the Arizona Corporation Commission.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Joseph Sinani'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

January 7, 2011 - Present

IRONWOOD WEALTH ADVISORS, LLC

Office #1: 7047 E. Greenway Pkwy Suite 250, Scottsdale, AZ 85254

RIA

CRD#: 155276

Scottsdale, AZ

Past

June 10, 2008 - September 28, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SCOTTSDALE, AZ

Past

November 9, 2004 - May 23, 2011

IRONWOOD ASSET MANAGEMENT, LLC

RIA

CRD#: 132831

SCOTTSDALE, AZ

Past

June 25, 2004 - March 16, 2005

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SCOTTSDALE, AZ

Past

April 23, 2004 - September 28, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

SCOTTSDALE, AZ

Past

January 1, 2002 - May 21, 2004

CUE FINANCIAL GROUP, INC.

RIA

CRD#: 21033

SCOTTSDALE, AZ

Past

July 23, 1996 - May 21, 2004

CUE FINANCIAL GROUP, INC.

CRD#: 21033

PHOENIX, AZ

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

Arizona
(1/7/2011)

IAR

Texas
(4/24/2013)

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 66

Date: 10/24/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/25/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/7/1996

General Securities Representative Examination

Current Firm

IRONWOOD WEALTH ADVISORS, LLC

CRD#: 155276 / SEC#: 801-72067

RIA

Registered Investment Advisory firm - (9/19/2012 Terminated)

Arizona

Registered Investment Advisory firm - (9/18/2012 Approved)

Texas

Registered Investment Advisory firm - (4/24/2013 Conditional Restricted)

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

7047 E. Greenway Pkwy Suite 250, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 473-3455

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 85,934,763

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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Derek J. Sinani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Joseph Sinani's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRONWOOD WEALTH ADVISORS, LLC

FSC SECURITIES CORPORATION

IRONWOOD ASSET MANAGEMENT, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CUE FINANCIAL GROUP, INC.

CUE FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2001

Series 63

Date: 3/25/1996

Series 7

Date: 3/7/1996

Current Firm

IRONWOOD WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

IRONWOOD WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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