Derek M. Easdon

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CRD#: 5687749

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Derek M Easdon was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2009. Derek had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.) INDEPENDENT CONTRACTOR - HIGH SCHOOL AND COLLEGE BASKETBALL OFFICIAL (REFEREE) - NOT INVESTMENT RELATED - BRIGHTON, CO 80601 - HIGH SCHOOL SPORTS OFFICIAL - FOR 0 WKDY AND 10 EVE/WKND HRS/WK SINCE 11/2010 - O HOURS DURING SECURITIES TRADING HOURS - I OFFICIATE (REFEREE) HIGH SCHOOL SPORTS. 2.) BASEBALL UMPIRE, NON-INVESTMENT RELATED, BRIGTHON, CO, BASEBALL UMPIRE, INDEPENDENT CONTRACTOR, START DATE 5/2013, LESS THAN 20 HOURS PER MONTH, NO TIME OUTSIDE OF TRADING HOURS, UMPIRE LITTLE LEAGUE THRU HIGH SCHOOL BASEBALL. 3.) Independent Insurance Agent, Investment Related, Lone Tree, CO, Start Date 02/2010, Lines of Authority in Variable Products, Accident & Health, and Life, approximately 144 hours per month devoted to this business activity with all hours during securities trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2021 - September 22, 2023

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Lone Tree, CO

Past

August 23, 2019 - April 1, 2020

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

June 11, 2013 - April 1, 2020

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

May 18, 2011 - April 12, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DENVER, CO

Past

November 5, 2009 - February 4, 2011

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BROOMFIELD, CO

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".

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/23/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/5/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 10/5/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

CRD#: 301990 / SEC#: 801-117179

RIA

Registered Investment Advisory firm - (8/13/2019 Approved)

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Contact information

Main Address

317 State Street, Guthrie Center, IA 50115

Mailing Address

Phone number

(833) 483-8383

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AEGIS WEALTH MANAGEMENT INC. FORM ADV PART 2A BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,538
AUM (Assets Under Management)	$ 175,971,164

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.

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Firm Stability Insights

Derek M. Easdon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MSI FINANCIAL SERVICES, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

AEGIS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2019

Series 63

Date: 12/3/2009

Series 7TO

Date: 10/5/2022

Series 6TO

Date: 10/5/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2013

Series 6

Date: 11/4/2009

Current Firm

AEGIS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AEGIS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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