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DS

Derek M. Spies

COLONNADE SECURITIES LLC
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 7399519
DS

Professional summary

Derek Michael Spies is a registered financial professional currently at COLONNADE SECURITIES LLC located in Chicago, Illinois.

Derek is registered as a RR (Registered Representative) and started their career in finance in 2021. Derek has worked at 1 firm and has passed the Series 79TO, SIE and Series 24 exams.

top-8-questions

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) - BD

Click below to view Derek Michael Spies'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®
None

Experience

Current

October 12, 2021 - Present

COLONNADE SECURITIES LLC

Office #1: 500 West Madison Street Suite 1000, Chicago, IL 60661
BD
CRD#: 144771
Chicago, IL

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

General Industry/Product Exam
RR
Series 79TO
Date: 10/12/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COLONNADE SECURITIES LLC
COLONNADE SECURITIES LLC

CRD#: 144771 / SEC#: , 8-67673

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

Main Address
600 Cleveland Street Suite 272, Clearwater, FL 33755
Mailing Address
600 Cleveland Street Suite 272, Clearwater, FL 33755
Phone number
(312) 425-8160
Established
Delaware since 08/23/2002
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
COLONNADE ADVISORS LLCMEMBER
COCKING, GINA MARIEMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, CFO, CCO AND AML COMPLIANCE PERSON, PFO, POO, AND EXECUTIVE REPRESENTATIVE2937883
SPIES, DEREK MICHAELVICE PRESIDENT7399519

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

COLONNADE SECURITIES LLC

CRD#: 144771Chicago, IL 60661

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