Dana Rae Deroque
Professional Summary
Dana Rae Deroque, who also goes by Dana Rae Novotny, is a registered financial advisor currently at DESTINATION WEALTH MANAGEMENT located in Walnut Creek, California. Dana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Dana has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dana Rae Novotny
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
DESTINATION WEALTH MANAGEMENT | YCMNET ADVISORS | QUALITY PENSION MANAGEMENT
Contact Information
Main Address
1255 Treat Boulevard Suite 900, Walnut Creek, CA 94597Phone Number
(925) 935-2900# of Employees
68SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,129AUM (Assets Under Management)
$4,948,271,866Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DESTINATION WEALTH MANAGEMENT | YCMNET ADVISORS | QUALITY PENSION MANAGEMENT
State Registrations and Notice Filings
(6/27/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Dana Rae Deroque's CRS (Customer Relationship Summary).
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