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DF

Derek J. Finch

SLK PRIVATE WEALTH MANAGEMENT
LOS ANGELES, CA 90024
Some features on this profile are disabled
CRD#: 4895591
DF

Professional summary

Derek Justin Finch, who also goes by Derek Justin Finch, Derek J Finch, is a registered financial advisor currently at SLK PRIVATE WEALTH MANAGEMENT, LLC located in Los Angeles, California.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Derek has worked at 3 firms and has passed the Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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 21, 2025 - Present

SLK PRIVATE WEALTH MANAGEMENT, LLC

Office #1: 10877 Wilshire Boulevard Suite 1406, Los Angeles, CA 90024
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.

BD
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".
SP
SLK PRIVATE WEALTH MANAGEMENT, LLC
SLK PRIVATE WEALTH MANAGEMENT, LLC | SLK PRIVATE WEALTH, LLC

CRD#: 333932 / SEC#: 801-131749

RIA
Registered Investment Advisory firm - (1/2/2025 Approved)

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
(1/21/2025)
IAR
Texas
(1/24/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/2025
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2021
Securities Industry Essentials Examination

Current Firm

SP
SLK PRIVATE WEALTH MANAGEMENT, LLC
SLK PRIVATE WEALTH MANAGEMENT, LLC | SLK PRIVATE WEALTH, LLC

CRD#: 333932 / SEC#: 801-131749

RIA
Registered Investment Advisory firm - (1/2/2025 Approved)
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Contact information

Main Address
10877 Wilshire Boulevard Suite 1406, Los Angeles, CA 90024
Mailing Address
Phone number
(424) 500-4613
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SLK PRIVATE WEALTH PARTNERS, LLC DISCLOSURE BROCHURE (9/22/2025)

Regulatory assets under management

Total Number of Accounts2,893
AUM (Assets Under Management)$ 1,646,202,798

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

SLK PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 333932Los Angeles, CA 90024

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