Derrick D. Schroeder
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.
Derrick David Schroeder, who also goes by Derrick Schroeder, was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 2003. Derrick had worked at 6 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - November 29, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
June 3, 2013 - November 15, 2017
R.W. SMITH & ASSOCIATES, LLC
October 1, 2012 - May 29, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 29, 2013
J.P. MORGAN SECURITIES LLC
July 25, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 25, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 22, 2007 - June 13, 2008
OSAIC SERVICES, INC.
September 29, 2004 - April 18, 2007
M.L. STERN & CO., LLC.
September 25, 2003 - April 18, 2007
M.L. STERN & CO., LLC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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