DR
Derek A. Ralston
INCOME & ASSET ADVISORY
Armonk, NY 10504
Some features on this profile are disabled
CRD#: 4130801
DR
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 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Derek Scheckner
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Anthony Ralston'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®
NoneExperience
Current
March 21, 2012 - Present
INCOME & ASSET ADVISORY, INC.
Office #1: 80 Business Park Drive, Suite 108, Armonk, NY 10504Office #2: 161 North Franklin Turnpike Ste. 203, Ramsey, NJ 07446RIA
CRD#: 124955
Armonk, NY
Current
September 25, 2015 - Present
NCM CAPITAL MANAGEMENT, LLC
Office #1: 180 East Main Street, Ramsey, NJ 07446RIA
CRD#: 151109
Ramsey, NJ
Past
March 1, 2012 - September 2, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
ARMONK, NY
Past
October 13, 2011 - March 1, 2012
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
ARMONK, NY
Past
October 2, 2009 - June 28, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
November 7, 2002 - June 24, 2009
CELADON FINANCIAL GROUP LLC
BD
CRD#: 36538
CHATHAM, NJ
Past
March 22, 2000 - November 21, 2002
TRADE MANAGE CAPITAL, INC.
BD
CRD#: 7263
WALDWICK, NJ
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
CRD#: 151109 / SEC#: 801-101518
RIA
Registered Investment Advisory firm - (7/24/2015 Approved)New Jersey
Registered Investment Advisory firm - (7/29/2015 Terminated)New York
Registered Investment Advisory firm - (7/28/2015 Terminated)Texas
Registered Investment Advisory firm - (7/28/2015 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.Highlighted states indicate IAR registrations
IAR
Connecticut(3/21/2012)
IAR
New Jersey(9/25/2015)
IAR
New York(8/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/29/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 3/20/2000
Assistant Representative-Order Processing Qualification ExamCurrent Firm
NCM CAPITAL MANAGEMENT, LLC
NCM CAPITAL MANAGEMENT, LLC
CRD#: 151109 / SEC#: 801-101518
RIA
Registered Investment Advisory firm - (7/24/2015 Approved)New Jersey
Registered Investment Advisory firm - (7/29/2015 Terminated)New York
Registered Investment Advisory firm - (7/28/2015 Terminated)Texas
Registered Investment Advisory firm - (7/28/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
180 East Main Street, Ramsey, NJ 07446
Mailing Address
Phone number
(201) 529-1429
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 633 |
| AUM (Assets Under Management) | $ 430,724,032 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
