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Derek Anthony Ralston

INCOME & ASSET ADVISORY
ARMONK, NY
·CRD# 4130801·26 years experience

Professional Summary

Derek Anthony Ralston, who also goes by Derek Scheckner, is a registered financial advisor currently at INCOME & ASSET ADVISORY, INC. located in Armonk, New York and NCM CAPITAL MANAGEMENT, LLC located in Ramsey, New Jersey. Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Derek has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 11...

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Derek Scheckner

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

INCOME & ASSET ADVISORY, INC.·CRD# 124955
RIA
1. 80 Business Park Drive, Suite 108, Armonk, NY 105042. 161 North Franklin Turnpike Ste. 203, Ramsey, NJ 07446
March 21, 2012 - Present
NCM CAPITAL MANAGEMENT, LLC·CRD# 151109
RIA
180 East Main Street, Ramsey, NJ 07446
September 25, 2015 - Present
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.·CRD# 18487
BD
Armonk, NY
March 1, 2012 - September 2, 2015
GENEOS WEALTH MANAGEMENT, INC.·CRD# 120894
BD
Armonk, NY
October 13, 2011 - March 1, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC·CRD# 104162
BD
Bolingbrook, IL
October 2, 2009 - June 28, 2010
CELADON FINANCIAL GROUP LLC·CRD# 36538
BD
Chatham, NJ
November 7, 2002 - June 24, 2009
TRADE MANAGE CAPITAL, INC.·CRD# 7263
BD
Waldwick, NJ
March 22, 2000 - November 21, 2002

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Current Firm

NCM CAPITAL MANAGEMENT, LLC
NCM CAPITAL MANAGEMENT, LLC

NCM CAPITAL MANAGEMENT, LLC

CRD#: 151109 / SEC#: 801-101518
RIA
Registered Investment Advisory firm - SEC (7/24/2015 Approved)
New Jersey
Registered Investment Advisory firm - New Jersey (7/29/2015 Terminated)
New York
Registered Investment Advisory firm - New York (7/28/2015 Terminated)
Texas
Registered Investment Advisory firm - Texas (7/28/2015 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

180 East Main Street, Ramsey, NJ 07446

Phone Number

(201) 529-1429

# of Employees

3

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2026 NCM FORM ADV PART 2A FIRM BROCHURE (3/29/2026)

Regulatory Assets Under Management

Total Number of Accounts

722

AUM (Assets Under Management)

$539,441,079

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

9/2015-PRESENT: NCM CAPITAL MANAGEMENT INC./INVESTMENT RELATED/RAMSEY, NJ/INVESTMENT ADVISOR REPRESENTATIVE/100 HRS PER MONTH; INCLUDING DURING MARKET HRS.// 100% owner/investor; 1-844-SIR-JUNK; Is the business investment related: No; Location of the business: 120 E. Main Street, Ste. 206 Ramsey NJ 07446 USA; Description of the business: Junk removal service, based in Ramsey, NJ handling both commercial and residential cleanouts. Serving Bergen County and surrounding areas. ; Responsibilities Duties: I spend de minimis time on the business.; Start date with business: 2018-04-16; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 8; Percentage of total yearly compensation expected to be derived from the business: 0; Derek Anthony Ralston is a President at Ramsey Chamber of Commerce; Is the business investment related: No; Location of the business: 120 E Main St #270 Ramsey NJ 07446; Description of the business: The Ramsey Chamber of Commerce is a group of business professionals we bring business' together through networking events, educational seminars or community based activities we continue to focus on our mission of Connecting Commerce and Community; Responsibilities Duties: Chairing meetings, attending meetings and events; Start date with business: 2024-01-10; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 0.

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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".
NCM CAPITAL MANAGEMENT, LLC
NCM CAPITAL MANAGEMENT, LLC

NCM CAPITAL MANAGEMENT, LLC

CRD#: 151109 / SEC#: 801-101518
RIA
Registered Investment Advisory firm - SEC (7/24/2015 Approved)
New Jersey
Registered Investment Advisory firm - New Jersey (7/29/2015 Terminated)
New York
Registered Investment Advisory firm - New York (7/28/2015 Terminated)
Texas
Registered Investment Advisory firm - Texas (7/28/2015 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
IAR
Connecticut
(3/21/2012)
IAR
New Jersey
(9/25/2015)
IAR
New York
(8/17/2021)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2015About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2007

Series 7 — General Securities Representative Examination

Passed Sep 2000About the Series 7 exam

Series 11 — Assistant Representative-Order Processing Qualification Exam

Passed Mar 2000

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CRS (Client Relationship Summary) - RIA

Click below to view Derek Anthony Ralston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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