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Derek T. Dorris
CETERA INVESTMENT ADVISERS LLC
Oklahoma City, OK 73102
Some features on this profile are disabled
CRD#: 5353008
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Professional summary
Derek Todd Dorris is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oklahoma City, Oklahoma and CETERA WEALTH SERVICES, LLC located in Oklahoma City, Oklahoma.
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 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. NAME OF OTHER BUSINESS: SUMMIT FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE, INVESMENTS AND BENEFITS START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WORKING WITH INDIVIDUALS WEALTH CLIENTS; 2. NAME OF OTHER BUSINESS: DOOR DASH - DEREK DORRIS INVESTMENT RELATED: NO ADDRESS: YUKON, OK 73099 NATURE OF BUSINESS: FOOD DELIVERY SERVICE START DATE: 05/2024 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: FOOD DELIVERY SERVICE; 3. NAME OF OTHER BUSINESS: OKC FIRST CHURCH OF NAZ - FOUNDATION BOARD INVESTEMENT RELATED: NO ADDRESS: 4400 NW EXPRESSWAY, OKLAHOMA CITY, OK 73116 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 01/2022 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: .05 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: WE EVALUATE AND OFFER FUNDS FROM INVESTMENT TO HELP ASSIST WITH MAINTENANCE ISSUES WITH THE CHURCH. WE WORK WITH ANOTHER FINANCIAL ADVISOR FROM MERRILL THAT SERVES AS THE FIDUCIARY OF THE ACCOUNT;
CRS (Client Relationship Summary) - RIA
Click below to view Derek Todd Dorris'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
July 15, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 211 N Robinson Ste 1490, Oklahoma City, OK 73102RIA
CRD#: 105644
Oklahoma City, OK
Current
July 15, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 211 N Robinson Ste 1490, Oklahoma City, OK 73102BD
CRD#: 13572
Oklahoma City, OK
Past
July 31, 2023 - July 25, 2024
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Oklahoma City, OK
Past
July 31, 2023 - July 25, 2024
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
OKLAHOMA CITY, OK
Past
September 19, 2022 - June 22, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
OKLAHOMA CITY, OK
Past
June 23, 2022 - June 22, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
OKLAHOMA CITY, OK
Past
June 13, 2019 - May 9, 2022
VAULT WEALTH
RIA
CRD#: 288541
OKLAHOMA CITY, OK
Past
August 6, 2007 - July 19, 2010
WADDELL & REED
RIA
CRD#: 866
EDMOND, OK
Past
July 11, 2007 - July 19, 2010
WADDELL & REED
BD
CRD#: 866
EDMOND, OK
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
RR
Arkansas(1/9/2025)
RR
Kansas(1/9/2025)
RR
Missouri(1/9/2025)
RR
Oklahoma(7/15/2024)
IAR
Oklahoma(7/15/2024)
RR
Texas(7/15/2024)
IAR
Texas(7/15/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
