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DW

Derek E. Woods

Some features on this profile are disabled
CRD#: 4097261
DW

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 Edwin Woods, CFP®, who also goes by Derek Edwin Woods, Derek Woods, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2000. Derek had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Edwin Woods | Derek Woods

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®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Past

July 30, 2021 - September 21, 2022

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Denver, CO
Past

July 30, 2021 - September 21, 2022

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Denver, CO
Past

December 9, 2020 - July 23, 2021

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
AURORA, CO
Past

December 8, 2020 - July 23, 2021

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
Honolulu, HI
Past

June 8, 2017 - December 15, 2020

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

June 6, 2017 - December 15, 2020

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Aurora, CO
Past

April 20, 2015 - March 1, 2016

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
GREENWOOD VILLAGE, CO
Past

April 20, 2015 - March 1, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
GREENWOOD VILLAGE, CO
Past

January 2, 2015 - April 23, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
ENGLEWOOD, CO
Past

January 2, 2015 - April 23, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
ENGLEWOOD, CO
Past

August 28, 2014 - September 30, 2014

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
ENGELWOOD, CO
Past

March 15, 2013 - January 5, 2015

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
ENGELWOOD, CO
Past

February 20, 2013 - March 27, 2015

AWM ASSET MANAGEMENT LLC

RIA
CRD#: 166748
ENGLEWOOD, CO
Past

September 1, 2009 - February 4, 2013

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
NEW YORK, NY
Past

August 22, 2005 - February 4, 2013

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
AURORA, CO
Past

March 9, 2005 - July 25, 2005

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

March 16, 2004 - March 18, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

December 4, 2000 - January 7, 2004

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

January 17, 2000 - November 3, 2000

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

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: 8/24/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/2000
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: 5/8/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2002
General Securities Principal Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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