Derrick B. Scott-walker
Professional summary
Derrick Bernard Scott-walker, who also goes by Derrick Bernard Scott, Derrick Scott, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.
Derrick is registered as a RR (Registered Representative) and started their career in finance in 2004. Derrick has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Derrick Bernard Scott-walker's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2015 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339October 14, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339Office #2: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339October 14, 2015 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339October 14, 2015 - Present
CETERA ADVISORS LLC
Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
August 13, 2015 - October 12, 2015
WOODBURY FINANCIAL SERVICES, INC.
August 13, 2015 - October 12, 2015
VALIC FINANCIAL ADVISORS, INC.
February 23, 2011 - October 12, 2015
OSAIC SERVICES, INC.
February 23, 2011 - October 12, 2015
OSAIC WEALTH, INC.
July 23, 2007 - October 12, 2015
FSC SECURITIES CORPORATION
October 31, 2005 - July 20, 2007
OSAIC SERVICES, INC.
August 15, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
April 20, 2005 - August 17, 2005
VANGUARD MARKETING CORPORATION
May 6, 2004 - October 27, 2004
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2015)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
