Derek T. Main

FIRST MAIN CAPITAL

Tacoma, WA

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CRD#: 5742551

Professional summary

Derek Todd Main, who also goes by Derek T Main, Derek Todd Main, is a registered financial advisor currently at FIRST MAIN CAPITAL located in Tacoma, Washington and VANDERBILT SECURITIES, LLC located in Rochester,, New York.

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 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek T Main | Derek Todd Main

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.

META DEVELOPMENT CO LLC INV REL: Y ADD: 607 LOCKSLEY PLACE WEBSTER GROVES MO 63119 NATURE: CLOSE HELD FAMILY REAL ESTATE DEVELOPMENT COMPANY THAT IS DORMANT POSITION: CO-OWNER WITH SIBLINGS AND PARENTS START DATE: 5/19/2000 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Todd Main'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®

None

Experience

Current

July 13, 2022 - Present

FIRST MAIN CAPITAL

RIA

CRD#: 319246

Tacoma, WA

Current

October 31, 2025 - Present

VANDERBILT SECURITIES, LLC

Office #1: 755 Jefferson Rd 2nd Floor Suite 200, Rochester,, NY, 14623

CRD#: 5953

Rochester,, NY

Past

July 15, 2020 - November 19, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Longview, WA

Past

July 15, 2020 - November 19, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

Longview, WA

Past

January 17, 2018 - June 24, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BELLEVUE, WA

Past

December 6, 2017 - June 24, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

BELLEVUE, WA

Past

November 10, 2014 - October 12, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SPOKANE, WA

Past

November 10, 2014 - October 12, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SPOKANE, WA

Past

October 14, 2011 - October 13, 2014

MORGAN STANLEY

RIA

CRD#: 149777

ROCKVILLE, MD

Past

October 14, 2011 - October 13, 2014

MORGAN STANLEY

CRD#: 149777

ROCKVILLE, MD

Past

February 8, 2010 - October 17, 2011

EDWARD JONES

RIA

CRD#: 250

ST LOUIS, MO

Past

January 26, 2010 - October 17, 2011

EDWARD JONES

CRD#: 250

ST LOUIS, MO

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

Washington
(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

State Security Law Exam

IAR

Series 66

Date: 2/5/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/31/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST MAIN CAPITAL

FIRST MAIN CAPITAL | FIRST MAIN CAPITAL LLC

CRD#: 319246 / SEC#:

Washington

Registered Investment Advisory firm - (7/13/2022 Approved)

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Contact information

Main Address

1455 Nw Leary Way Suite 400, Seattle, WA 98107

Mailing Address

Phone number

(425) 272-5345

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 1,476,110

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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Advisor Monitoring

Firm Stability Insights

Derek T. Main

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Todd Main's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANDERBILT SECURITIES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2010

Series 7TO

Date: 10/31/2025

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2010

FINRA

Current Firm

FIRST MAIN CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIRST MAIN CAPITAL

TRUST BUT VERIFY

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