Derek C. Unice

KEELER THOMAS MANAGEMENT LLC

Orem, UT 84097

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CRD#: 6394718

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek Carl Unice Mr.

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.

1. KEELER THOMAS POSITION: REGISTERED ASSISTANT, NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/17/2018 ADDRESS: 1327 S. 800 E., Orem UT 84097, United States DESCRIPTION: Investment and market analysis

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Carl Unice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 17, 2025 - Present

KEELER THOMAS MANAGEMENT LLC

Office #1: 1327 South 800 East, Orem, UT 84097

RIA

CRD#: 109522

Orem, UT

Past

September 1, 2023 - January 17, 2025

OSAIC WEALTH, INC.

CRD#: 23131

OREM, UT

Past

January 18, 2019 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

OREM, UT

Past

June 3, 2015 - May 15, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

AMERICAN FORK, UT

Past

February 19, 2015 - May 20, 2015

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

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".

KEELER THOMAS MANAGEMENT LLC

KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC

CRD#: 109522 / SEC#: 801-100354

RIA

Registered Investment Advisory firm - (6/15/2015 Approved)

California

Registered Investment Advisory firm - (7/22/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2015 Terminated)

Utah

Registered Investment Advisory firm - (6/22/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(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

State Security Law Exam

IAR

Series 65

Date: 1/16/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/2015

General Securities Representative Examination

Current Firm

KEELER THOMAS MANAGEMENT LLC

KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC

CRD#: 109522 / SEC#: 801-100354

RIA

Registered Investment Advisory firm - (6/15/2015 Approved)

California

Registered Investment Advisory firm - (7/22/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2015 Terminated)

Utah

Registered Investment Advisory firm - (6/22/2015 Terminated)

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Contact information

Main Address

1327 South 800 East, Orem, UT 84097

Mailing Address

Phone number

(801) 226-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEELER THOMAS INC ADV BROCHURE (5/28/2025)

Regulatory assets under management

Total Number of Accounts	839
AUM (Assets Under Management)	$ 379,274,089

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

Derek C. Unice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Carl Unice's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

KEELER THOMAS MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2025

Series 63

Date: 3/17/2015

SIE

Date: 5/15/2017

Series 7

Date: 2/19/2015

Current Firm

KEELER THOMAS MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEELER THOMAS MANAGEMENT LLC

TRUST BUT VERIFY

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