DT
Derek C. Thompson
TRANSAMERICA FINANCIAL ADVISORS
West Lawn, PA 19609
Some features on this profile are disabled
CRD#: 5168175
DT
Professional summary
Derek Christopher Thompson, who also goes by Derek C Thompson, Derek Thompson, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in West Lawn, Pennsylvania.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Derek has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Derek C Thompson | Derek Thompson
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. UBER/Investment Related - No/27-55 Jackson Ave, Long Island City, NY 11101 PHONE NUMBER:(803) 993-8237/TAXI SERVICE/DRIVER/05.17/60/0/DRIVER PEOPLE FROM POINT A TO POINT B NETLAW /0319 TO PRESENT/ INVESTMENT RELATED: YES /12910 SHELBYVILLE ROAD SUITE 124 LOUISVILLE , KY 40243/FINANCIAL PLANNER/THIS COMPANY HELPS FAMILY BY CREATING WILLS AND TRUST FUNDS. THEY HELP INSURE WEALTH GETS PASSED DOWN TO THERE CHILDREN/ hrs work monthly: 30/ Sec trading hrs: 1/WHEN I SIT DOWN WITH A PROSPECTIVE CLIENT TO DO A FACT FINDER. WE REVIEW THERE ESTATE PLANNING NEEDS, I THEN RECOMMEND THE PRODUCT. IT HELPS TO KEEP THEM IN LINE WITH THERE FINANCIAL SECURITY. Apex Business LLC/ 0420-Present / Investment Related: No / 1383 Park Place Brooklyn NY 11213 / President CEO / connected to Uber OBA/ Hrs Work Monthly: 60 / Sec Trading Hrs: 0/ My usual daily activities is picking up passengers 3-4 hours a day. This gives me cash flow to pay for expenses in my advisory business at Transamerica LYFT POSITION: Driver NATURE: Transportation INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2017 ADDRESS: 185 Berry Street, Suite 400, San Francisco CA 94107, United States DESCRIPTION: I provide transportation to people in NYC.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Christopher Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derek Christopher Thompson's 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®
NoneExperience
Current
February 23, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2211 Quarry Drive Suite 60, West Lawn, PA 19609RIA
BD
CRD#: 16164
West Lawn, PA
Current
February 23, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2211 Quarry Drive Suite 60, West Lawn, PA 19609RIA
BD
CRD#: 16164
West Lawn, PA
Past
April 5, 2016 - January 13, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 1, 2014 - December 28, 2015
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
NEW YORK, NY
Past
March 4, 2014 - March 7, 2014
BLACKBOOK CAPITAL, LLC
BD
CRD#: 123234
HILLSIDE, NJ
Past
December 11, 2013 - February 28, 2014
PHX FINANCIAL, INC.
BD
CRD#: 144403
NEW YORK, NY
Past
November 6, 2013 - December 3, 2013
REID & RUDIGER LLC
BD
CRD#: 47263
NEW YORK, NY
Past
January 14, 2013 - July 12, 2013
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ISELIN, NJ
Past
February 3, 2011 - March 28, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
June 17, 2009 - October 2, 2009
PHD CAPITAL
BD
CRD#: 38785
PRINCETON, NJ
Past
January 1, 2007 - April 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Louisiana(2/23/2018)
RR
New Jersey(2/23/2018)
IAR
New Jersey(2/27/2018)
RR
New York(2/23/2018)
IAR
New York(5/11/2021)
RR
Pennsylvania(7/2/2025)
IAR
Pennsylvania(7/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164West Lawn, PA 19609TRUST BUT VERIFY
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