Derek Carl Unice
Professional Summary
Derek Carl Unice, who also goes by Derek Carl Unice Mr., is a registered financial advisor currently at KEELER THOMAS MANAGEMENT LLC located in Orem, Utah. Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Derek has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Derek Carl Unice Mr.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC
Contact Information
Main Address
1327 South 800 East, Orem, UT 84097Phone Number
(801) 226-0800# of Employees
12SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
440AUM (Assets Under Management)
$305,501,290Similar Advisors
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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.
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Primary Firm SEC Registration
KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC
State Registrations and Notice Filings
(1/17/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Derek Carl Unice's CRS (Customer Relationship Summary).
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EAGLE STRATEGIES LLC