Derek L. Goss
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.
Derek Lee Goss, who also goes by Derek L Goss, was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 2006. Derek had worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2023 - June 10, 2026
FIDELITY & GUARANTY SECURITIES, LLC
March 19, 2020 - February 19, 2021
SAYBRUS EQUITY SERVICES, LLC
July 13, 2015 - February 17, 2016
INVEST FINANCIAL CORPORATION
April 11, 2013 - July 14, 2015
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 19, 2012 - March 25, 2013
SANTANDER SECURITIES LLC
November 17, 2011 - September 19, 2012
LPL FINANCIAL LLC
March 28, 2011 - October 31, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2008 - March 16, 2011
CETERA WEALTH SERVICES, LLC
March 6, 2006 - May 8, 2007
PNC WEALTH MANAGEMENT LLC
January 1, 2006 - January 27, 2006
MML INVESTORS SERVICES, 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 6TO
Date: 5/15/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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.
