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Derek Popock

Cetera Advisors LLC

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About Derek Popock

Derek Popock is a financial advisor with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC and Avantax Investment Services, Inc.. Derek has over 25 years of experience in the financial services industry. Derek is registered in Texas as a Broker-Dealer.

Firm Information

Derek Popock is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It 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 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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 Popock’s Registration & Firm History

TX

08/20/2024 - Present

Cetera Advisors LLC (DALLAS TX)

CA

04/07/2021 - 08/09/2021

ALTRUIST FINANCIAL LLC (CULVER CITY CA)

TX

10/25/2019 - 03/16/2021

AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)

TX

03/05/2018 - 10/25/2019

1ST GLOBAL CAPITAL CORP. (DALLAS TX)

TX

11/09/2017 - 02/26/2018

TD AMERITRADE, INC. (Southlake TX)

TX

05/18/2017 - 07/27/2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)

TX

01/13/2017 - 03/31/2017

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

TX

05/10/2016 - 10/04/2016

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

NY

09/30/2008 - 05/22/2015

OPPENHEIMER & CO. INC. (NEW YORK NY)

NC

08/05/2008 - 08/14/2008

TRADEKING (CHARLOTTE NC)

NY

06/09/2006 - 07/16/2008

OPPENHEIMER & CO. INC. (NEW YORK NY)

MA

10/20/2004 - 05/30/2006

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

10/16/2002 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NY

06/01/1995 - 01/30/2001

QUICK & REILLY, INC. (NEW YORK NY)

NE

03/01/1995 - 06/13/1995

NATIONAL DISCOUNT BROKERS (OMAHA NE)

NE

01/25/1994 - 02/16/1995

WATERHOUSE SECURITIES, INC. (OMAHA NE)

NY

10/29/1993 - 12/01/1993

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

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Licenses & Designations

BC

Issued 11/03/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Derek Popock. Review regulatory record here.
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