DS
Derek Su
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
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CRD#: 4121574
DS
Derek SuU.S. CAPITAL WEALTH ADVISORS
Professional summary
Derek Su, AIF®, who also goes by Derek Chung Su, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and ARAX ADVISORY PARTNERS located in Austin, Texas.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Derek has worked at 6 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Aliases
Derek Chung Su
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.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Su's 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®
Experience
Current
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
July 15, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 300 West 6th Street, Suite 1900, Austin, TX 78701RIA
CRD#: 133535
Austin, TX
Current
August 15, 2014 - Present
USCA SECURITIES LLC
Office #1: 300 W. 6th Street Suite 1900, Austin, TX 78701BD
CRD#: 103789
AUSTIN, TX
Past
August 15, 2014 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
AUSTIN, TX
Past
January 7, 2011 - August 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AUSTIN, TX
Past
December 13, 2010 - August 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AUSTIN, TX
Past
January 29, 2001 - August 30, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.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
Arizona(8/15/2014)
RR
Arkansas(6/6/2023)
RR
California(8/15/2014)
RR
Florida(7/17/2018)
RR
Hawaii(6/5/2018)
RR
Louisiana(8/15/2014)
RR
Maryland(8/15/2014)
RR
Massachusetts(2/16/2018)
RR
Missouri(8/15/2014)
RR
New Mexico(8/15/2014)
RR
Texas(8/15/2014)
IAR
Texas(6/30/2021)
IAR
Texas(7/15/2026)
RR
Utah(12/17/2018)
RR
Virginia(1/22/2015)
RR
Washington(6/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ARAX ADVISORY PARTNERS
CRD#: 133535Austin, TX 78701TRUST BUT VERIFY
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