Derek W. Waslick
Professional summary
Derek W. Waslick, who also goes by Derek William Waslick, Derek Waslick, is a registered financial advisor currently at FIDELITY INSTITUTIONAL WEALTH ADVISER LLC located in Hampden, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Derek has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Derek W. Waslick's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2022 - Present
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
Office #2: 500 Salem Street, Smithfield, RI 02917October 20, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917January 22, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 500 Salem Street, Smithfield, RI 02917May 14, 2014 - August 17, 2021
MML INVESTORS SERVICES, LLC
October 3, 2011 - March 26, 2012
NYLIFE SECURITIES LLC
May 30, 2011 - July 1, 2011
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/21/2021)
(2/23/2022)
(11/1/2021)
(2/28/2022)
(1/5/2023)
(1/13/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC
CRD#: 301896 / SEC#: 801-116860
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 829 |
| AUM (Assets Under Management) | $ 6,468,261,663 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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