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DL

Derek D. Lester

Some features on this profile are disabled
CRD#: 4269735
DL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Derek Daniel Lester, who also goes by Derek D Lester, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2001. Derek had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek D Lester

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 19, 2017 - February 2, 2026

FISHER INVESTMENTS

RIA
CRD#: 107342
PLANO, TX
Past

March 17, 2015 - September 14, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
DALLAS, TX
Past

March 6, 2015 - September 14, 2017

HARRISDIRECT LLC

RIA
CRD#: 42159
DALLAS, TX
Past

August 11, 2010 - January 27, 2015

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
PLANO, TX
Past

August 11, 2010 - January 27, 2015

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PLANO, TX
Past

May 5, 2010 - August 6, 2010

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
LEWISVILLE, TX
Past

June 11, 2007 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
DALLAS, TX
Past

June 11, 2007 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
DALLAS, TX
Past

January 18, 2001 - February 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
IRVING, TX
Past

January 10, 2001 - February 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
IRVING, TX

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".
FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/17/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2000
General Securities Representative Examination

Current Firm

FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)
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Contact information

Main Address
6500 International Pkwy Ste 2050, Plano, TX 75093-8222
Mailing Address
Phone number
(800) 851-8845
Established
Firm type
Fiscal year end
# of Employees
4,369

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

INSTITUTIONAL (2/11/2026)
CANADA PRIVATE CLIENT (2/11/2026)
UNITED KINGDOM PRIVATE CLIENT (2/11/2026)
PRIVATE CLIENT (2/11/2026)

Regulatory assets under management

Total Number of Accounts422,516
AUM (Assets Under Management)$ 386,669,724,038

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.

Company Information

FISHER INVESTMENTS

FISHER INVESTMENTS

CRD#: 107342

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