DV
Derrick Vickery
KPP ADVISORY SERVICES LLC
Somerset, KY 42501
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CRD#: 7408049
DV
Professional summary
Derrick Vickery is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Somerset, Kentucky and LPL FINANCIAL LLC located in Somerset, Kentucky.
Derrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Derrick has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 09/08/2021 - Kentucky Planning Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 09/082021- 160 Hr/Mth/8 Hours During Securities Trading 2) 09/08/2021 - KPP ADVISORY SERVICES, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Financial Professional - Start Date - 7/1/2021 - 160 Hours Per Month/7 Hours During Securities Trading - Time Spent 5% - I provide investment advisory services through KPP Advisory Services, LLC an independent investment advisor firm. I started this business activity in 08/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 1/24/2023 - Vickery Investments - Not Investment Related - 214 Linnwood Dr. Somerset, KY 42501 - Business Entity For Tax/Investment Purposes Only - Start Date - 02/01/2023 - 15 Hours Per Month/0 Hours During Securities Trading 4) 3/2/2023 - HD Investments - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 03/02/2023 - 20 Hours Per Month/0 Hours During Securities Trading 5) 06/30/2025 - Roofing of Southern Kentucky - CFO - Not Investment Related - Outside/W-2 Employment - St. Monticello KY - Start date: 06/30/2025 - 10 Hours Per Month/2 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Derrick Vickery'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
August 10, 2021 - Present
KPP ADVISORY SERVICES LLC
Office #1: 406 E. Mt. Vernon St., Somerset, KY 42501RIA
CRD#: 289507
Somerset, KY
Current
September 23, 2021 - Present
LPL FINANCIAL LLC
Office #1: 406 E Mount Vernon St, Somerset, KY 42501RIA
BD
CRD#: 6413
SOMERSET, KY
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".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
Registered Investment Advisory firm - (9/15/2017 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
IAR
Kentucky(8/10/2021)
RR
Kentucky(10/26/2021)
RR
Tennessee(2/14/2025)
IAR
Texas(2/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
CRD#: 289507 / SEC#: 801-111709
RIA
Registered Investment Advisory firm - (9/15/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (26 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,405 |
| AUM (Assets Under Management) | $ 874,251,636 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
