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DW

Derek W. Waslick

Some features on this profile are disabled
CRD#: 5915843
DW

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 W. Waslick, who also goes by Derek William Waslick, Derek Waslick, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2011. Derek had worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek William Waslick | Derek Waslick

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)

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

February 23, 2022 - January 6, 2026

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

RIA
CRD#: 301896
SMITHFIELD, RI
Past

January 22, 2022 - January 6, 2026

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
SMITHFIELD, RI
Past

October 20, 2021 - January 6, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

May 14, 2014 - August 17, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

October 3, 2011 - March 26, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA
Past

May 30, 2011 - July 1, 2011

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
WOBURN, MA

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".
FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA
Registered Investment Advisory firm - (6/28/2019 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/14/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FI
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
FIDELITY INSTITUTIONAL AM | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896 / SEC#: 801-116860

RIA
Registered Investment Advisory firm - (6/28/2019 Approved)
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Contact information

Main Address
245 Summer Street, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
194

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY MODEL PORTFOLIO SOLUTIONS (1/9/2026)
FIDELITY INSTITUTIONAL CUSTOM SMAS (12/3/2025)
FIDELITY MANAGED ACCOUNT XCHANGE ESSENTIALS (3/31/2025)
FIDELITY MANAGED ACCOUNT XCHANGE (3/31/2025)

Regulatory assets under management

Total Number of Accounts829
AUM (Assets Under Management)$ 6,468,261,663

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025
Cover Page
Report
08/22/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/26/2023
Cover Page
Report

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.

Company Information

FIDELITY INSTITUTIONAL WEALTH ADVISER LLC

CRD#: 301896

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