Derek R. Stuart

ATB CAPITAL MARKETS USA

Calgary, T2P 1g1

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CRD#: 5180798

Professional summary

Derek Reid Stuart MR., who also goes by Derek Reid Stuart, is a registered financial professional currently at ATB CAPITAL MARKETS USA INC. .

Derek is registered as a RR (Registered Representative) and started their career in finance in 2006. Derek has worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Derek Reid Stuart

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) - BD

Click below to view Derek Reid Stuart MR.'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®

None

Experience

Current

January 15, 2020 - Present

ATB CAPITAL MARKETS USA INC.

Office #1: 585 8th Avenue Sw Suite #410, Calgary, T2P 1g1

RIA

CRD#: 155053

Calgary,

Past

January 17, 2017 - August 10, 2018

GRIFFITHS MCBURNEY CORP.

CRD#: 40620

Calgary, Alberta,

Past

November 24, 2006 - January 16, 2017

FIRSTENERGY CAPITAL (USA) CORP.

CRD#: 37665

CALGARY, AB,

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".

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

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

California
(1/14/2021)

Colorado
(4/13/2021)

Georgia
(1/22/2021)

New York
(1/14/2021)

North Carolina
(4/15/2021)

Texas
(1/22/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/14/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 37

Date: 11/23/2006

Canada Module of the General Securities Registered Representative (With Options Questions)

SRO Registrations

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1

Mailing Address

#410 585 8th Avenue Sw, Calgary, T2P 1G1

Phone number

(403) 593-8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

RESEARCH SERVICES (6/11/2025)

Direct owners and executive officers

Name	Position	CRD#
ATB SECURITIES, INC.	SHAREHOLDER
EDWARDS, LISA MARIE	CHIEF COMPLIANCE OFFICER	5592656
EURICH, DARREN LEE	EXECUTIVE REPRESENTATIVE, CEO, MEMBER OF BOARD OF DIRECTORS	7323470
PECK, NANCY LYNN	FINOP/CFO	5174759

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.

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Derek R. Stuart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derek Reid Stuart MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ATB CAPITAL MARKETS USA INC.

GRIFFITHS MCBURNEY CORP.

FIRSTENERGY CAPITAL (USA) CORP.

Primary Firm SEC Registration

ATB CAPITAL MARKETS USA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2021

SIE

Date: 8/10/2018

Series 37

Date: 11/23/2006

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

ATB CAPITAL MARKETS USA INC.

TRUST BUT VERIFY

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