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 Downing is a registered representative with Stifel, Nicolaus & Company, Inc. Derek John Downing has been in the industry since July 24, 2013. Derek John Downing has been associated with First Empire Securities, Inc. in the past. Derek John Downing has passed Series 7, Series 66, Series 24, SIE, and Series 99TO exams. Derek John Downing has been registered in 54 states. Derek John Downing is currently registered in New Jersey, New York, and Texas. Derek John Downing is a registered representative with Stifel, Nicolaus & Company, Inc. and works in the Hauppauge, New York office. Derek John Downing has listed 3 other business activities outside of Stifel, Nicolaus & Company, Inc.
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.
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.
1
2
NY
03/22/2019 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
07/25/2013 - 06/25/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
BOTH
Issued 10/02/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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