Derek A. Kessen

STEWARD ADVISORS GROUP

CHICAGO, IL

Some features on this profile are disabled

CRD#: 5445194

Professional summary

Derek A. Kessen, who also goes by Derek A Kessen, is a registered financial advisor currently at STEWARD ADVISORS GROUP, LLC located in Chicago, Illinois.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Derek has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek A Kessen

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) - RIA

Click below to view Derek A. Kessen's CRS (Customer Relationship Summary).

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

November 7, 2022 - Present

STEWARD ADVISORS GROUP, LLC

RIA

CRD#: 321846

CHICAGO, IL

Past

July 26, 2022 - November 4, 2022

STEWARD ADVISORS GROUP, LLC

RIA

CRD#: 321846

CHICAGO, IL

Past

July 29, 2009 - December 13, 2019

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

CHICAGO, IL

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".

STEWARD ADVISORS GROUP, LLC

CRD#: 321846 / SEC#: 801-125950

RIA

Registered Investment Advisory firm - (6/23/2022 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.

Highlighted states indicate IAR registrations

IAR

New York
(11/7/2022)

IAR

Texas
(11/15/2022)

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

IAR

Series 65

Date: 7/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/15/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2009

General Securities Representative Examination

Current Firm

STEWARD ADVISORS GROUP, LLC

CRD#: 321846 / SEC#: 801-125950

RIA

Registered Investment Advisory firm - (6/23/2022 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

139 Meyer Road Suite 201, Halfmoon, NY 12065

Mailing Address

Phone number

(888) 225-3350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEWARD ADVISORS GROUP ADV PART 2A 11 07 2024 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 61,367,958

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Derek A. Kessen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek A. Kessen's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEWARD ADVISORS GROUP, LLC

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

Primary Firm SEC Registration

STEWARD ADVISORS GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/2022

Series 66

Date: 3/15/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2009

Current Firm

STEWARD ADVISORS GROUP, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEWARD ADVISORS GROUP, LLC

TRUST BUT VERIFY

Similar Advisors