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DS

Derek G. Sprouse

Some features on this profile are disabled
CRD#: 432697
DS

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 Gordon Sprouse was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 1969. Derek had worked at 10 firms and has passed the Series 63, Series 3, Series 000 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 18, 1986 - November 24, 1986

EASTER KRAMER GROUP SECURITIES, INC.

BD
CRD#: 15318
Past

December 17, 1984 - September 23, 1986

COMMVEST SECURITIES,INC.

BD
CRD#: 13500
Past

July 22, 1984 - December 7, 1984

FIRST FLORIDA SECURITIES, INC.

BD
CRD#: 3892
Past

November 15, 1982 - July 9, 1984

RICHARDSON GREENSHIELDS SECURITIES INC.

BD
CRD#: 3178
Past

October 6, 1981 - November 9, 1982

BUTCHER & SINGER INC.

BD
CRD#: 6517
Past

September 2, 1980 - September 17, 1981

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1980 - December 28, 1980

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

September 26, 1977 - December 29, 1979

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

June 9, 1976 - October 9, 1977

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
Past

September 12, 1969 - July 22, 1976

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

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
Series 63
Date: 11/20/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/11/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 000
Date: 9/10/1969
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 9/10/1969
Registered Representative Examination

Current Firm

EK
EASTER KRAMER GROUP SECURITIES, INC.
DELTA SECURITIES, INC. | EASTER KRAMER GROUP SECURITIES, INC.

CRD#: 15318 / SEC#: , 8-31715

BD
Expelled by FINRA on 07/24/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 03/16/1983
Firm type
Corporation
Fiscal year end
# of Employees

Documents

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

EASTER KRAMER GROUP SECURITIES, INC.

CRD#: 15318

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