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Derek M. Cotta

Some features on this profile are disabled
CRD#: 6834633
DC

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.

Derek Meldon Cotta was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2017. Derek had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

September 28, 2020 - February 12, 2026

FALLS BRIDGE SECURITIES, LLC

BD
CRD#: 299526
BRYN MAWR, PA
Past

August 22, 2017 - February 21, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/7/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2017
General Securities Representative Examination

Current Firm

FB
FALLS BRIDGE SECURITIES, LLC
FALLS BRIDGE SECURITIES, LLC

CRD#: 299526 / SEC#: , 8-70247

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
32 N Bryn Mawr Ave Suite 200, Bryn Mawr, PA 19010
Mailing Address
32 N Bryn Mawr Ave Suite 200, Bryn Mawr, PA 19010
Phone number
(646) 787-1406
Established
Pennsylvania since 09/24/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FALLS BRIDGE CAPITAL PARTNERS, INC.SOLE MEMBER
CURRIE, PATRICK COLMANPRINCIPAL4998977
KIRWAN, MICHAEL JOHNPRESIDENT/CCO4263096

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.

Company Information

FALLS BRIDGE SECURITIES, LLC

CRD#: 299526

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