Derrik J. Brown

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CRD#: 6316280

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.

Derrik Jordan Brown was a registered financial professional .

Derrik is a previously registered financial professional and started their career in finance in 2014. Derrik had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

July 6, 2018 - December 5, 2022

ENHANCING CAPITAL LLC

RIA

CRD#: 290018

HARRISBURG, PA

Past

January 11, 2016 - June 28, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

JONESTOWN, PA

Past

January 11, 2016 - June 28, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

JONESTOWN, PA

Past

November 4, 2015 - December 3, 2015

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

HARRISBURG, PA

Past

November 4, 2015 - December 3, 2015

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

HARRISBURG, PA

Past

July 15, 2014 - November 3, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MILLERSBURG, PA

Past

April 1, 2014 - November 3, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MILLERSBURG, PA

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".

ENHANCING CAPITAL LLC

CRD#: 290018 / SEC#: 801-111927

RIA

Registered Investment Advisory firm - (10/25/2017 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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2014

General Securities Representative Examination

Current Firm

ENHANCING CAPITAL LLC

CRD#: 290018 / SEC#: 801-111927

RIA

Registered Investment Advisory firm - (10/25/2017 Approved)

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Contact information

Main Address

5300 Derry Street, Harrisburg, PA 17111

Mailing Address

Phone number

(717) 561-4491

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 341,983,597

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.

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Advisor Monitoring

Firm Stability Insights

Derrik J. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

ENHANCING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2014

Series 63

Date: 6/9/2014

SIE

Date: 6/28/2018

Series 7

Date: 4/1/2014

Current Firm

ENHANCING CAPITAL LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ENHANCING CAPITAL LLC

TRUST BUT VERIFY

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