Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek John Chaffin is an investment advisor representative for Wells Fargo Clearing Services, LLC. He joined the firm in 2015 and holds licenses with the state of California for both broker-dealer and investment advisor activities. Prior to his current role, Derek held positions with Morgan Stanley and TD Ameritrade. Derek has a strong background in the financial services industry, having over 20 years of experience in the sector.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
12/03/2015 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
04/04/2013 - 12/04/2015
MORGAN STANLEY (SANTA BARBARA CA)
TX
10/03/2012 - 02/26/2013
TD AMERITRADE CLEARING, INC. (FORT WORTH TX)
TX
06/04/2007 - 02/26/2013
TD AMERITRADE, INC. (FORT WORTH TX)
TX
02/12/2007 - 05/08/2007
CHARLES SCHWAB & CO., INC. (SOUTHLAKE TX)
CA
11/13/1998 - 02/08/2007
TD AMERITRADE, INC. (SAN DIEGO CA)
CA
04/18/1997 - 08/26/1997
M.L. STERN & CO. INC. (BEVERLY HILLS CA)
CA
03/12/1996 - 11/06/1996
CHASSE FINANCIAL INC. (SAN DIEGO CA)
IA
Issued 02/09/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/2001
Series 24 - General Securities Principal Examination
BC
Issued 06/29/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 05/14/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/22/1996
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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