AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DF

Derek R. Faulhaber

Some features on this profile are disabled
CRD#: 5117094
DF

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 Ryan Faulhaber, who also goes by Derek Ryan Faulhaber, Derek Faulhaber, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2006. Derek had worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Ryan Faulhaber | Derek Faulhaber

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2024 - September 24, 2024

PHX FINANCIAL, INC.

BD
CRD#: 144403
Hauppauge, NY
Past

August 25, 2017 - February 13, 2019

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Ridgewood, NY
Past

August 23, 2017 - February 13, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Ridgewood, NY
Past

June 19, 2017 - August 28, 2017

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

May 2, 2017 - August 28, 2017

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

March 17, 2015 - February 11, 2016

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
SEATTLE, WA
Past

March 13, 2015 - February 11, 2016

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
NEW YORK, NY
Past

April 3, 2014 - February 28, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BROOKLYN, NY
Past

April 2, 2014 - February 28, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BROOKLYN, NY
Past

May 18, 2012 - March 26, 2014

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BRONX, NY
Past

May 14, 2012 - March 26, 2014

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
BRONX, NY
Past

April 6, 2011 - August 1, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
NEW YORK, NY
Past

April 6, 2011 - August 1, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW YORK, NY
Past

September 24, 2009 - December 17, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
BROOKLYN, NY
Past

September 24, 2009 - December 17, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
BROOKLYN, NY
Past

September 30, 2008 - August 10, 2009

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
BROOKLYN, NY
Past

July 16, 2008 - August 10, 2009

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BROOKLYN, NY
Past

April 16, 2007 - May 23, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

April 12, 2006 - February 26, 2007

E1 ASSET MANAGEMENT, INC.

BD
CRD#: 46872
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/29/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/20/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/25/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/10/2012
General Securities Sales Supervisor - Options Module Examination

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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

PHX FINANCIAL, INC.

CRD#: 144403

TRUST BUT VERIFY

Monitor Derek Faulhaber

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.