Derek J. Hoggett

INVESTA ASSET MANAGEMENT LLC

Marlin, TX

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CRD#: 823706

Professional summary

Derek James Hoggett is a registered financial advisor currently at INVESTA ASSET MANAGEMENT LLC located in Marlin, Texas.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Derek has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 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.

OWNER OF INVESTA INC. SINCE 1981. INVESTA INC IS NOT INVESTMENT-RELATED AND IS LOCATED AT 750 WESTWOOD DR MARLIN TX 76661 AND DEVELOPS INVESTMENT SOFTWARE. I SPEND LESS THAN 8 HOURS A MONTH WORKING FOR INVESTA, INC. AND ZERO HOURS DURING SECURITIES TRADING HOURS. OWNER OF OZ SOFTWARE INC. SINCE 1987. OZ SOFTWARE INC. IS NOT INVESTMENT-RELATED AND IS LOCATED AT 750 WESTWOOD DR MARLIN TX 76661 AND DEVELOPS WEB SITES. I SPEND LESS THAN 8 HOURS A MONTH WORKING FOR OZ SOFTWARE, INC., AND ZERO HOURS DURING SECURITIES TRADING HOURS. I AM EMPLOYEED AS AS A TEACHER SUBSTITUTE AT CHINA SPRING ISD, ROBINSON ISD, AND WINDHAM SCHOOL DISTRICT; ALL NON-INVESTMENT-RELATED. I WORK NO MORE THAN TWO DAYS A WEEK ON AVERAGE DURING SCHOOL DAYS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek James Hoggett'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

November 2, 2011 - Present

INVESTA ASSET MANAGEMENT LLC

RIA

CRD#: 157546

Marlin, TX

Past

May 1, 2003 - December 31, 2003

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

Past

December 11, 2000 - November 19, 2001

ARGO SECURITIES CORP.

CRD#: 38473

PLANO, TX

Past

October 27, 1983 - December 10, 1998

STELLAR INVESTMENTS, INC.

CRD#: 13814

TAMPA, FL

Past

January 11, 1982 - October 27, 1983

HILLTOP SECURITIES INC.

CRD#: 6220

Past

July 6, 1979 - January 5, 1982

ROTAN MOSLE INC.

CRD#: 727

Past

September 26, 1978 - July 29, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

June 24, 1976 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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.

Highlighted states indicate IAR registrations

IAR

Texas
(11/2/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/7/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/27/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/23/1983

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1983

General Securities Principal Examination

Current Firm

INVESTA ASSET MANAGEMENT LLC

CRD#: 157546 / SEC#:

Texas

Registered Investment Advisory firm - (11/2/2011 Approved)

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Contact information

Main Address

Marlin, TX

Mailing Address

Phone number

(512) 800-8300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 500,000

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.

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Firm Stability Insights

Derek J. Hoggett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek James Hoggett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHOICE INVESTMENTS, INC.

ARGO SECURITIES CORP.

STELLAR INVESTMENTS, INC.

HILLTOP SECURITIES INC.

ROTAN MOSLE INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/7/2011

Series 63

Date: 11/27/1979

Series 7

Date: 6/19/1976

Series 4

Date: 9/23/1983

Series 24

Date: 9/14/1983

Current Firm

INVESTA ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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