Derek I. Middleman
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 Ian Middleman, who also goes by Derek Middleman, was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 2009. Derek had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2021 - September 20, 2022
SOFI SECURITIES LLC
March 31, 2021 - September 20, 2022
SOFI WEALTH LLC
September 22, 2020 - April 6, 2021
VANGUARD ADVISERS, INC.
September 22, 2020 - April 6, 2021
VANGUARD MARKETING CORPORATION
April 7, 2020 - August 27, 2020
CAPITAL ONE SECURITIES, INC.
April 30, 2019 - July 30, 2019
CAPITAL ONE SECURITIES, INC.
May 16, 2016 - August 1, 2019
CAPITAL ONE ADVISORS, LLC
September 1, 2009 - June 12, 2019
CAPITAL ONE INVESTING, 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 11
Date: 8/31/2009
Assistant Representative-Order Processing Qualification ExamCurrent Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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