Derek D. Carter
Professional summary
Derek David Carter is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.
Derek is registered as a RR (Registered Representative) and started their career in finance in 2003. Derek has worked at 10 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Derek David Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2015 - Present
PHILLIP CAPITAL INC.
Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653Office #2: 141 W. Jackson Suite 1531a, Chicago, IL 60604-2653July 1, 2013 - September 11, 2014
VIRTU AMERICAS LLC
February 24, 2012 - September 25, 2013
GETCO SECURITIES, LLC
July 24, 2009 - June 11, 2014
GETCO EXECUTION SERVICES LLC
March 6, 2009 - June 11, 2014
OCTEG, LLC
August 9, 2005 - October 29, 2008
COUNTRYWIDE SECURITIES CORPORATION
September 29, 2004 - June 30, 2005
SII INVESTMENTS, INC.
September 29, 2004 - June 30, 2005
INVESTMENT CENTERS OF AMERICA, INC.
September 29, 2004 - June 30, 2005
INVEST FINANCIAL CORPORATION
June 27, 2003 - June 30, 2005
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe EDGX Exchange, Inc.
FINRA
Current Firm
PHILLIP CAPITAL INC.
CRD#: 173869 / SEC#: , 8-69558
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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