DL
Derek Lightner
ALLY INVEST ADVISORS
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 7068171
DL
Professional summary
Derek Lightner, who also goes by Derek James Lightner, Derek Lightner, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Charlotte, North Carolina and ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Derek has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Derek James Lightner | Derek Lightner
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.
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Associate Specialist - Margin. Dually licensed. 09/25/2021. 0-20hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed or advisory accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Lightner's 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®
NoneExperience
Current
October 7, 2021 - Present
ALLY INVEST ADVISORS
Office #1: 601 S. Tryon Street Suite 100, Charlotte, NC 28202RIA
CRD#: 170301
CHARLOTTE, NC
Current
January 19, 2021 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202BD
CRD#: 136131
Charlotte, NC
Past
September 3, 2019 - November 4, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
March 22, 2019 - November 4, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
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".
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
Registered Investment Advisory firm - (3/27/2014 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.RR
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
RR
Alabama(1/19/2021)
RR
Alaska(1/19/2021)
RR
Arizona(1/19/2021)
RR
Arkansas(1/19/2021)
RR
California(1/19/2021)
RR
Colorado(1/19/2021)
RR
Connecticut(1/19/2021)
RR
Delaware(1/19/2021)
RR
District of Columbia(1/19/2021)
RR
Florida(1/19/2021)
RR
Georgia(1/19/2021)
RR
Hawaii(1/19/2021)
RR
Idaho(1/19/2021)
RR
Illinois(1/19/2021)
RR
Indiana(1/19/2021)
RR
Iowa(1/19/2021)
RR
Kansas(1/19/2021)
RR
Kentucky(1/19/2021)
RR
Louisiana(1/19/2021)
RR
Maine(1/19/2021)
RR
Maryland(1/19/2021)
RR
Massachusetts(1/19/2021)
RR
Michigan(1/19/2021)
RR
Minnesota(1/19/2021)
RR
Mississippi(1/19/2021)
RR
Missouri(1/19/2021)
RR
Montana(1/19/2021)
RR
Nebraska(1/19/2021)
RR
Nevada(1/19/2021)
RR
New Hampshire(1/19/2021)
RR
New Jersey(1/19/2021)
RR
New Mexico(1/19/2021)
RR
New York(1/19/2021)
RR
North Carolina(1/19/2021)
IAR
North Carolina(10/7/2021)
RR
North Dakota(1/19/2021)
RR
Ohio(1/20/2021)
RR
Oklahoma(1/19/2021)
RR
Oregon(1/19/2021)
RR
Pennsylvania(1/19/2021)
RR
Puerto Rico(1/19/2021)
RR
Rhode Island(1/19/2021)
RR
South Carolina(1/19/2021)
RR
South Dakota(1/19/2021)
RR
Tennessee(1/19/2021)
RR
Texas(1/19/2021)
RR
Utah(1/19/2021)
RR
Vermont(1/19/2021)
RR
Virginia(1/19/2021)
RR
Washington(1/19/2021)
RR
West Virginia(1/19/2021)
RR
Wisconsin(1/19/2021)
RR
Wyoming(1/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
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Contact information
Main Address
601 S. Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
Phone number
(855) 880-2559
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
