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Derek Faulhaber

PHX Financial, Inc.

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About Derek Faulhaber

Derek Faulhaber is a financial advisor based in Hauppauge, NY. Derek has been working in the financial services industry since 2013 and is currently registered with Phx Financial, Inc. Prior to joining Phx Financial, Inc., Derek worked with Citigroup Global Markets Inc., AXA Advisors, LLC, Capital One Investing, LLC, HSBC Securities (USA) Inc., LPL Financial LLC, and Chase Investment Services Corp. Derek is a Series 7, 9, 10, 63, and 65 licensed professional.

Firm Information

Derek Faulhaber is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Derek Faulhaber’s Registration & Firm History

NY

01/24/2024 - Present

PHX Financial, Inc. (Hauppauge NY)

NY

08/23/2017 - 02/13/2019

CITIGROUP GLOBAL MARKETS INC. (Ridgewood NY)

NY

05/02/2017 - 08/28/2017

AXA ADVISORS, LLC (NEW YORK NY)

NY

03/13/2015 - 02/11/2016

CAPITAL ONE INVESTING, LLC (NEW YORK NY)

NY

04/02/2014 - 02/28/2015

CITIGROUP GLOBAL MARKETS INC. (BROOKLYN NY)

NY

05/18/2012 - 03/26/2014

HSBC SECURITIES (USA) INC. (BRONX NY)

NY

04/06/2011 - 08/01/2011

LPL FINANCIAL LLC (NEW YORK NY)

NY

09/24/2009 - 12/17/2010

CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)

NY

07/16/2008 - 08/10/2009

HSBC SECURITIES (USA) INC. (BROOKLYN NY)

NY

04/16/2007 - 05/23/2008

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

NY

04/12/2006 - 02/26/2007

E1 ASSET MANAGEMENT, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/20/2024

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/29/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/25/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/10/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/20/2023

Series 7TO - General Securities Representative Examination

BC

Issued 08/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Derek Faulhaber.
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