DC
Derek Chalfant
CETERA INVESTMENT ADVISERS LLC
LAKE WYLIE, SC
Some features on this profile are disabled
CRD#: 5418068
DC
Professional summary
Derek Chalfant, who also goes by Derek Gene Chalfant, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lake Wylie, South Carolina and CETERA INVESTMENT SERVICES LLC located in Lake Wylie, South Carolina.
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 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Derek Gene Chalfant
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.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Chalfant'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 7, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LAKE WYLIE, SC
Current
July 2, 2024 - Present
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LAKE WYLIE, SC
Current
July 2, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 654 Springhouse Pl, Lake Wylie, SC 29710BD
CRD#: 13572
LAKE WYLIE, SC
Current
July 2, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
LAKE WYLIE, SC
Current
July 2, 2024 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
LAKE WYLIE, SC
Past
January 10, 2022 - June 27, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
January 10, 2022 - June 27, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
May 11, 2011 - November 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
February 19, 2010 - December 2, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
February 3, 2010 - December 2, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
October 11, 2007 - January 20, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST PETERSBURG, FL
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
Alabama(7/2/2024)
RR
Alaska(7/2/2024)
RR
Arizona(7/2/2024)
RR
Arkansas(7/2/2024)
RR
California(7/2/2024)
RR
Colorado(7/2/2024)
RR
Connecticut(7/2/2024)
RR
Delaware(7/2/2024)
RR
District of Columbia(7/2/2024)
RR
Florida(7/2/2024)
RR
Georgia(7/2/2024)
RR
Hawaii(7/2/2024)
RR
Idaho(7/2/2024)
RR
Illinois(7/2/2024)
RR
Indiana(7/2/2024)
RR
Iowa(7/2/2024)
RR
Kansas(7/2/2024)
RR
Kentucky(7/2/2024)
RR
Louisiana(7/2/2024)
RR
Maine(7/2/2024)
RR
Maryland(7/2/2024)
RR
Massachusetts(7/2/2024)
RR
Michigan(7/2/2024)
RR
Minnesota(7/2/2024)
RR
Mississippi(7/2/2024)
RR
Missouri(7/2/2024)
RR
Montana(7/2/2024)
RR
Nebraska(7/2/2024)
RR
Nevada(7/2/2024)
RR
New Hampshire(7/2/2024)
RR
New Jersey(7/2/2024)
RR
New Mexico(7/2/2024)
RR
New York(7/2/2024)
RR
North Carolina(7/2/2024)
RR
North Dakota(7/2/2024)
RR
Ohio(7/2/2024)
RR
Oklahoma(7/2/2024)
RR
Oregon(7/2/2024)
RR
Pennsylvania(7/2/2024)
RR
Puerto Rico(7/2/2024)
RR
Rhode Island(7/2/2024)
RR
South Carolina(7/2/2024)
IAR
South Carolina(7/7/2024)
RR
South Dakota(7/2/2024)
RR
Tennessee(7/2/2024)
RR
Texas(7/2/2024)
IAR
Texas(10/17/2024)
RR
Utah(7/2/2024)
RR
Vermont(7/2/2024)
RR
Virgin Islands(7/2/2024)
RR
Virginia(7/2/2024)
RR
Washington(7/2/2024)
RR
West Virginia(7/2/2024)
RR
Wisconsin(7/2/2024)
RR
Wyoming(7/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
