Nicholas James Derose
Professional Summary
Nicholas James Derose is a registered financial advisor currently at GROWTHPOINT TECHNOLOGY PARTNERS, LLC located in San Francisco, California. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
GP TECHNOLOGY PARTNERS, LLC | GROWTHPOINT TECHNOLOGY PARTNERS, LLC
Contact Information
Main Address
601 California Street Suite 600, San Francisco, CA 94108Mailing Address
2208 Seminole Court, Santa Rosa, CA 95405Phone Number
(650) 322-2378Established
Delaware since 09/08/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/13/2012)
(9/17/2013)
(11/6/2020)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
(9/17/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Derose's CRS (Customer Relationship Summary).
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