Derek J. Finch

SEASIDE WEALTH MANAGEMENT

CARLSBAD, CA 92009

Some features on this profile are disabled

CRD#: 4895591

Professional summary

Derek Justin Finch, who also goes by Derek Justin Finch, Derek J Finch, is a registered financial advisor currently at SEASIDE WEALTH MANAGEMENT, INC. located in Carlsbad, California.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Derek has worked at 4 firms and has passed the Series 65, Series 7TO and SIE exams.

At a Glance

Always Fiduciary

Aliases

Derek Justin Finch | Derek J Finch

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.

1) Mr. Finch is dually registered as an investment advisor representative with SLK Private Wealth Management, LLC since 01/2025, as a registered representative with Sanctuary Securities, Inc. since 01/2024 and as an investment advisor representative with Sanctuary Advisors, LLC since 01/2025. This dual registration is strictly for transitional purposes only. 2) SLK PRIVATE WEALTH POSITION: CCO & Director of Operations NATURE: We are approved with Sanctuary for dual registration with them and our new RIA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 180 START DATE: 1/20/2025 ADDRESS: 10877 Wilshire Blvd Suite 1406, Los Angeles CA 90024, United States DESCRIPTION: Same responsibilities as with Sanctuary

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Justin Finch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 28, 2026 - Present

SEASIDE WEALTH MANAGEMENT, INC.

Office #1: 6154 Innovation Way, Carlsbad, CA 92009

RIA

CRD#: 271039

CARLSBAD, CA

Past

January 21, 2025 - January 15, 2026

EVOLVE PRIVATE WEALTH, LLC

RIA

CRD#: 333932

LOS ANGELES, CA

Past

January 16, 2025 - April 2, 2025

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

LOS ANGELES, CA

Past

January 9, 2024 - April 2, 2025

SANCTUARY SECURITIES, INC.

CRD#: 205

LOS ANGELES, CA

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".

SEASIDE WEALTH MANAGEMENT, INC.

CRD#: 271039 / SEC#: 801-111750

RIA

Registered Investment Advisory firm - (9/27/2017 Approved)

California

Registered Investment Advisory firm - (10/29/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/29/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/28/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/2025

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/9/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/28/2021

Securities Industry Essentials Examination

Current Firm

SEASIDE WEALTH MANAGEMENT, INC.

CRD#: 271039 / SEC#: 801-111750

RIA

Registered Investment Advisory firm - (9/27/2017 Approved)

California

Registered Investment Advisory firm - (10/29/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/29/2017 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6154 Innovation Way, Carlsbad, CA 92009

Mailing Address

Phone number

(760) 730-8120

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/19/2026)

Regulatory assets under management

Total Number of Accounts	1,175
AUM (Assets Under Management)	$ 459,283,506

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.

Similar Advisors

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

Brennan Fontana

LIDO

IAR

San Diego, CA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Derek J. Finch

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Justin Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEASIDE WEALTH MANAGEMENT, INC.

EVOLVE PRIVATE WEALTH, LLC

SANCTUARY ADVISORS, LLC

SANCTUARY SECURITIES, INC.

Primary Firm SEC Registration

SEASIDE WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2025

Series 7TO

Date: 1/9/2024

SIE

Date: 7/28/2021

Current Firm

SEASIDE WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEASIDE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors