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Derek A. Cornelius

ADVANCED STRATEGIES BROKER DEALER LLC
Chattanooga, TN 37405
Some features on this profile are disabled
CRD#: 2957254
DC

Professional summary

Derek Antonio Cornelius is a registered financial professional currently at ADVANCED STRATEGIES BROKER DEALER LLC located in Chattanooga, Tennessee.

Derek is registered as a RR (Registered Representative) and started their career in finance in 1997. Derek has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

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) - BD

Click below to view Derek Antonio Cornelius'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®
None

Experience

Current

October 2, 2019 - Present

ADVANCED STRATEGIES BROKER DEALER LLC

Office #1: 1308 Dallas Road, Chattanooga, TN 37405
BD
CRD#: 164927
Chattanooga, TN
Past

June 1, 2007 - October 8, 2019

OSAIC FS, INC.

BD
CRD#: 3870
CHARLOTTE, NC
Past

May 28, 2004 - October 6, 2006

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
CHARLOTTE, NC
Past

November 21, 1997 - May 5, 2004

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

RR
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

RR
North Carolina
(10/2/2019)
RR
South Carolina
(10/10/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/1997
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 6
Date: 11/18/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ADVANCED STRATEGIES BROKER DEALER LLC
ADVANCED STRATEGIES BROKER DEALER LLC

CRD#: 164927 / SEC#: , 8-69118

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
1308 Dallas Road, Chattanooga, TN 37405
Mailing Address
1308 Dallas Road, Chattanooga, TN 37405
Phone number
(423) 265-4353
Established
Tennessee since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BIKAS, CHARLES WILLIAMMANAGING MEMBER, CCO, CFO, FINOP, GENERAL SECURITIES PRINCIPAL2802911

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

ADVANCED STRATEGIES BROKER DEALER LLC

CRD#: 164927Chattanooga, TN 37405

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