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DP

Derral Pratt

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 7172170
DP

Professional summary

Derral Pratt, who also goes by Derral Monroe Pratt, Derral Pratt, Dj Pratt, is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

Derral is registered as a RR (Registered Representative) and started their career in finance in 2020. Derral has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derral Monroe Pratt | Derral Pratt | Dj Pratt

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) - BD

Click below to view Derral Pratt'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 27, 2025 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

November 10, 2022 - July 26, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ
Past

August 27, 2021 - January 11, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 18, 2020 - May 24, 2021

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

State Registrations and Notice Filings

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

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
Illinois
(8/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/6/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/10/2023
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

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

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

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