Derek J. Elphick

THE L. WARNER COMPANIES,

Timonium, MD 21093

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CRD#: 6504706

Professional summary

Derek John Elphick, who also goes by Derek John Elphick Mr., is a registered financial advisor currently at THE L. WARNER COMPANIES, INC located in Timonium, Maryland and M HOLDINGS SECURITIES, INC. located in Timonium, Maryland.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Derek has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek John Elphick 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) THE L. WARNER COMPANIES, INC.; 9690 DEERECO ROAD SUITE 650, TIMONIUM, MD 21093; 08/2016; CIO, ASSET ALLOCATION & INVESTMENT MANAGEMENT; INVESTMENT RELATED; 200 HOURS/MONTH; 200 HOURS/MONTH DURING BUSINESS HOURS; WAGES/SALARY/TIPS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek John Elphick'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

August 9, 2016 - Present

THE L. WARNER COMPANIES, INC

Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093

RIA

CRD#: 108001

Timonium, MD

Current

June 12, 2017 - Present

M HOLDINGS SECURITIES, INC.

Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093

RIA

CRD#: 43285

Timonium, MD

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".

THE L. WARNER COMPANIES, INC

CRD#: 108001 / SEC#: 801-56965

RIA

Registered Investment Advisory firm - (9/25/1999 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Maryland
(8/9/2016)

Maryland
(10/27/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/26/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE L. WARNER COMPANIES, INC

CRD#: 108001 / SEC#: 801-56965

RIA

Registered Investment Advisory firm - (9/25/1999 Approved)

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Contact information

Main Address

9690 Deereco Road Suite 650, Timonium, MD 21093

Mailing Address

Phone number

(410) 252-0808

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 A&B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	385
AUM (Assets Under Management)	$ 744,609,071

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/18/2025	Cover Page	Report
07/10/2024	Cover Page	Report
10/16/2023	Cover Page	Report

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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Derek J. Elphick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek John Elphick's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE L. WARNER COMPANIES, INC

M HOLDINGS SECURITIES, INC.

Primary Firm SEC Registration

THE L. WARNER COMPANIES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2017

FINRA

Current Firm

THE L. WARNER COMPANIES, INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE L. WARNER COMPANIES, INC

TRUST BUT VERIFY

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