Derek G. Dieterich

CETERA INVESTMENT ADVISERS

SWEETWATER, TN 37874

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CRD#: 2873365

Professional summary

Derek Gates Dieterich, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sweetwater, Tennessee and CETERA INVESTMENT SERVICES LLC located in Sweetwater, Tennessee.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Derek has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

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 Derek Gates Dieterich's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

April 30, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 401 N Main St, Sweetwater, TN 37874

RIA

CRD#: 105644

SWEETWATER, TN

Current

May 4, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 401 N Main St, Sweetwater, TN 37874Office #2: 151 Major Reynolds Place, Knoxville, TN 37919

CRD#: 15340

SWEETWATER, TN

Past

April 19, 2017 - January 9, 2018

ASPIRE PRIVATE WEALTH COUNSEL, LLC

RIA

CRD#: 282582

KNOXVILLE, TN

Past

February 17, 2016 - July 28, 2016

OSAIC FS, INC.

RIA

CRD#: 3870

KNOXVILLE, TN

Past

February 17, 2016 - July 28, 2016

OSAIC FS, INC.

CRD#: 3870

KNOXVILLE, TN

Past

August 24, 2011 - February 18, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

KNOXVILLE, TN

Past

September 22, 2009 - April 15, 2010

LPL FINANCIAL LLC

CRD#: 6413

KNOXVILLE, TN

Past

June 5, 2009 - September 4, 2009

NATIONWIDE SECURITIES, LLC

CRD#: 11173

LAFOLLETTE, TN

Past

January 29, 2001 - April 7, 2009

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

KNOXVILLE, TN

Past

April 20, 1999 - January 9, 2000

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

March 29, 1999 - April 20, 1999

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Past

May 6, 1998 - March 26, 1999

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 29, 1997 - October 10, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

April 29, 1997 - October 10, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/10/2023)

Georgia
(3/26/2021)

Massachusetts
(3/2/2023)

IAR

Tennessee
(4/30/2018)

Tennessee
(5/4/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/28/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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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Firm Stability Insights

Derek G. Dieterich

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Gates Dieterich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

ASPIRE PRIVATE WEALTH COUNSEL, LLC

OSAIC FS, INC.

OSAIC FS, INC.

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

NATIONWIDE SECURITIES, LLC

FIRST HORIZON ADVISORS, INC.

SECURITIES SERVICE NETWORK, LLC

SECURITIES SERVICE NETWORK, LLC

INVEST FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/28/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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