Derek C. Smith
Professional summary
Derek Cody Smith, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Washington, District Of Columbia and TRUIST INVESTMENT SERVICES, INC. located in Washington, District Of Columbia.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Derek has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Derek Cody Smith's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2013
Experience
October 7, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1445 New York Ave, Nw Fl 4, Washington, DC 20005October 26, 2012 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1445 New York Ave Nw Fl 1 & 4, Washington, DC 20005October 26, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 19, 2011 - November 5, 2012
CAPITAL ONE FINANCIAL ADVISORS LLC
August 19, 2011 - November 5, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
April 22, 2010 - August 15, 2011
SIGNATOR INVESTORS, INC.
January 18, 2010 - August 15, 2011
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/7/2019)
(1/13/2016)
(1/13/2016)
(2/9/2022)
(10/26/2012)
(10/26/2012)
(10/7/2016)
(10/26/2012)
(1/13/2016)
(1/11/2018)
(1/13/2016)
(10/6/2016)
(2/24/2023)
(10/26/2012)
(1/13/2016)
(1/13/2016)
(1/13/2016)
(1/13/2016)
(1/14/2016)
(10/26/2016)
(3/22/2017)
(1/13/2016)
(1/13/2016)
(1/13/2016)
(1/13/2016)
(10/26/2012)
(1/13/2016)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
