Derek Todd Main
Professional Summary
Derek Todd Main, who also goes by Derek T Main, Derek Main, is a registered financial advisor currently at FIRST MAIN CAPITAL located in Rochester, New York. Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Derek has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Derek T Main, Derek Main
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Current Firm
FIRST MAIN CAPITAL | FIRST MAIN CAPITAL LLC
Contact Information
Main Address
100 S Clinton Ave 24th Floor, Rochester, NY 14604Phone Number
(585) 207-2515# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$1,934,206Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(7/13/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Derek Todd Main's CRS (Customer Relationship Summary).
Similar Advisors
RAYMOND JAMES & ASSOCIATES, INC.
LINCOLN INVESTMENT
RBC CAPITAL MARKETS, LLC