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DR

Derek M. Robertson

CRD#: 2827108
Some features on this profile are disabled
DR
Derek Moises Robertson

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.

Derek Moises Robertson was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 1996. Derek had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 31, 2025 - May 1, 2026

INTEGRATED INVESTMENT STRATEGIES,INC.

RIA
CRD#: 122706
Carmel, IN
Past

June 14, 2024 - July 30, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
CARMEL, IN
Past

June 14, 2024 - July 30, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
CARMEL, IN
Past

January 28, 2021 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
CARMEL, IN
Past

September 22, 2017 - June 14, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
CARMEL, IN
Past

August 25, 2008 - February 8, 2019

INTEGRATED INVESTMENT STRATEGIES,INC.

RIA
CRD#: 122706
INDIANAPOLIS, IN
Past

August 25, 2008 - September 22, 2017

AURORA SECURITIES

BD
CRD#: 46147
CARMEL, IN
Past

March 28, 2007 - August 18, 2008

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
CARMEL, IN
Past

March 28, 2007 - August 18, 2008

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
CARMEL, IN
Past

February 6, 2007 - February 22, 2007

AURORA SECURITIES

BD
CRD#: 46147
TROY, MI
Past

February 14, 2002 - March 13, 2007

INTEGRATED INVESTMENT STRATEGIES,INC.

RIA
CRD#: 122706
CARMEL, IN
Past

December 20, 2001 - February 23, 2007

OSAIC WEALTH, INC.

BD
CRD#: 23131
CARMEL, IN
Past

November 20, 1996 - December 20, 2001

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/6/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/27/1996
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/2001
General Securities Principal Examination

Current Firm

II
INTEGRATED INVESTMENT STRATEGIES,INC.
IIS | INTEGRATED INVESTMENT STRATEGIES,INC. | INTEGRATED INVESTMENT STRATEGIES ADVISORY SERVICES | INTEGRATED INVESTMENT EDUCATORS

CRD#: 122706 / SEC#:

Indiana
Registered Investment Advisory firm - (12/20/2001 Approved)
Texas
Registered Investment Advisory firm - (3/12/2014 Conditional Restricted)
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Contact information

Main Address
600 E Carmel Drive Suite 110, Carmel, IN 46032
Mailing Address
Phone number
(317) 843-5577
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts195
AUM (Assets Under Management)$ 69,034,425

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
TexasERA - Withdrawn3/10/2014

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.

Company Information

INTEGRATED INVESTMENT STRATEGIES,INC.

CRD#: 122706

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