Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek James Pritchard is a financial advisor who has been in the industry since 1993. Derek is currently registered with SPC in Dublin, CA and Ann Arbor, MI. Previously, Derek has been with SAGEPOINT FINANCIAL, INC., BANCWEST INVESTMENT SERVICES, INC., WACHOVIA SECURITIES, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC, WELLS FARGO SECURITIES INC., and MARKETING ONE SECURITIES, INC. Derek is a Series 6, 7, 63, and 65 licensed advisor. Derek has also obtained the SIE exam. Derek's specialization areas are 1, 2, 3, 4, 5 and 6. Derek is also the sole proprietor of Pritchard Asset Management.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consultation services
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar attendance fees
1
2
CA
11/06/2017 - Present
SPC (Dublin CA)
CA
12/19/2014 - 11/09/2017
SAGEPOINT FINANCIAL, INC. (DUBLIN CA)
CA
02/19/2009 - 03/31/2014
BANCWEST INVESTMENT SERVICES, INC. (LIVERMORE CA)
CA
08/14/2007 - 12/26/2008
WACHOVIA SECURITIES, LLC (CONCORD CA)
CA
05/22/2002 - 06/04/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA CLARA CA)
CA
05/02/2001 - 04/01/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/20/1993 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
OR
08/14/1992 - 09/20/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
IA
Issued 03/26/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1993
Series 7 - General Securities Representative Examination
BC
Issued 08/12/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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