Derrick Gallion Jr

CETERA INVESTMENT ADVISERS

DALLAS, TX 75019

CRD#: 4205782

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Professional summary

Derrick Gallion Jr, who also goes by Derrick Anton Gallion Jr., Derrick Anton Gallion Jr, Derrick A Gallion, Derrick Anton Gallion, Derrick Gallion, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Derrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Derrick has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derrick Anton Gallion Jr. | Derrick Anton Gallion Jr | Derrick A Gallion | Derrick Anton Gallion | Derrick Gallion

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) - RIA

Click below to view Derrick Gallion Jr'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

June 8, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Ste 100 , Dallas, TX 75019

RIA

CRD#: 105644

DALLAS, TX

Current

June 8, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Past

March 14, 2025 - June 6, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

March 14, 2025 - June 6, 2026

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

September 19, 2024 - January 13, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

DOUBLE OAK, TX

Past

March 20, 2024 - January 13, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

DOUBLE OAK, TX

Past

January 11, 2021 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

January 11, 2021 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

November 1, 2019 - January 12, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

January 24, 2011 - May 17, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

SAN DIEGO, CA

Past

January 24, 2011 - December 23, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

October 27, 2010 - November 4, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

October 22, 2010 - November 4, 2019

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

August 13, 2008 - October 22, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

SAN DIEGO, CA

Past

March 26, 2008 - August 11, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

March 26, 2008 - August 11, 2008

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

May 22, 2006 - March 2, 2007

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

June 20, 2003 - May 12, 2006

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

Past

April 29, 2003 - June 11, 2003

ITRADEDIRECT.COM CORP

CRD#: 18281

BOCA RATON, FL

Past

October 18, 2002 - March 6, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 12, 2001 - June 28, 2002

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Texas
(6/8/2026)

IAR

Texas
(6/8/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 3/20/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/14/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 10/18/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/11/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/19/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/17/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/7/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Derrick Gallion Jr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derrick Gallion Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUMMIT BROKERAGE SERVICES, INC.

TRADESTATION SECURITIES, INC.

ITRADEDIRECT.COM CORP

EQUITABLE ADVISORS, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2006

Series 65

Date: 12/9/2002

Series 63

Date: 12/31/2001

Series 99TO

Date: 3/20/2024

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/14/2013

Series 55

Date: 10/18/2003

Series 7

Date: 12/11/2001

Series 4

Date: 2/19/2009

Series 53

Date: 10/17/2008

Series 24

Date: 5/7/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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