Derek F. Yoder
Professional summary
Derek Frederick Yoder, who also goes by Derek Frederick Yoder, is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas.
Derek is registered as a RR (Registered Representative) and started their career in finance in 2013. Derek has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Derek Frederick Yoder's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2023 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street , Dallas, TX 75201March 16, 2023 - November 21, 2023
COMERICA SECURITIES
September 23, 2021 - March 21, 2023
CAPSTONE PARTNERS
February 17, 2016 - September 20, 2021
UBS FINANCIAL SERVICES INC.
November 13, 2015 - September 20, 2021
UBS FINANCIAL SERVICES INC.
March 21, 2014 - December 8, 2015
CREDIT SUISSE SECURITIES (USA) LLC
June 28, 2013 - March 4, 2014
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/16/2023)
Exams
Series 79TO
Date: 11/1/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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Company Information
COMERICA SECURITIES
CRD#: 17079Dallas, TX 75201TRUST BUT VERIFY
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