Derelys A. Patrick
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.
Derelys Anne Patrick, who also goes by Derelys Anne Bates, Derelys Patrick, was a registered financial professional .
Derelys is a previously registered financial professional and started their career in finance in 2004. Derelys had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2019 - February 1, 2022
KESTRA ADVISORY SERVICES, LLC
August 30, 2019 - February 1, 2022
KESTRA INVESTMENT SERVICES, LLC
April 28, 2016 - October 12, 2016
KESTRA ADVISORY SERVICES, LLC
September 19, 2014 - October 12, 2016
KESTRA INVESTMENT SERVICES, LLC
September 9, 2014 - May 9, 2016
KESTRA INVESTMENT SERVICES, LLC
April 25, 2011 - October 18, 2012
ONEAMERICA SECURITIES, INC.
April 21, 2011 - October 18, 2012
ONEAMERICA SECURITIES, INC.
December 15, 2009 - February 11, 2011
QA3 FINANCIAL LLC
December 14, 2009 - February 11, 2011
QA3 FINANCIAL CORP.
August 25, 2009 - December 7, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
March 30, 2009 - December 7, 2009
WORLD GROUP SECURITIES, INC.
November 26, 2007 - February 13, 2009
WORLD GROUP SECURITIES, INC.
April 16, 2007 - September 20, 2007
WORLD GROUP SECURITIES, INC.
July 23, 2004 - January 9, 2007
WORLD GROUP SECURITIES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 6TO
Date: 6/29/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
