Derek C. Wachsman
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 Charles Wachsman 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 63, Series 57TO, SIE, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2020 - December 10, 2021
TRITAURIAN CAPITAL, INCORPORATED
October 15, 2018 - May 22, 2019
GB CAPITAL MARKETS LLC
December 8, 2014 - December 18, 2017
STUDENT OPTIONS, LLC
September 10, 2013 - November 17, 2014
BAY CREST PARTNERS, LLC
July 23, 2012 - November 17, 2014
AMERIVEST PARTNERS, LLC
October 24, 2011 - July 19, 2012
ON POINT EXECUTIONS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 3/7/2013
Proprietary Trader Qualification ExaminationCurrent Firm
TRITAURIAN CAPITAL, INCORPORATED
CRD#: 45500 / SEC#: , 8-51062
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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