Derrick J. Clouser
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 J Clouser, who also goes by Derrick Jason Clouser, was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 1996. Derrick had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2014 - January 27, 2017
ENCOMPASS WEALTH ADVISORS, LLC
July 15, 2014 - October 6, 2015
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - July 23, 2014
MORGAN STANLEY
June 1, 2009 - July 23, 2014
MORGAN STANLEY
September 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 23, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 9, 2001 - July 7, 2008
UBS FINANCIAL SERVICES INC.
September 18, 1996 - March 16, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ENCOMPASS WEALTH ADVISORS, LLC
CRD#: 170807 / SEC#: 801-79393
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
ENCOMPASS WEALTH ADVISORS, LLC
CRD#: 170807 / SEC#: 801-79393
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,103 |
| AUM (Assets Under Management) | $ 413,314,010 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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