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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Stephen McClain is a financial advisor with over 19 years of experience in the industry. Derek has a diverse background having worked at several firms including TD Waterhouse Investor Services, Inc., Joseph Gunnar & Co. LLC and E*TRADE SECURITIES LLC. Currently, Derek is a Registered Principal at Morgan Stanley. He has obtained several licenses and registrations including Series 3, 4, 7, 9, 10, 24, 34, 52TO, 53 and 63. Derek Stephen McClain provides advisory services in Asset Allocation, Financial Planning, Pension Consulting and Portfolio Management. He specializes in working with various client types including Individuals, High-Net-Worth Individuals, Corporations, Charitable Organizations, Pension and Profit-Sharing Plans, Insurance Companies, Banking or Thrift Institutions and Investment Companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
03/03/2023 - Present
Morgan Stanley (Sandy UT)
UT
03/16/2006 - 06/03/2024
E*TRADE SECURITIES LLC (Sandy UT)
NE
02/08/2005 - 03/14/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
09/17/2004 - 01/10/2005
JOSEPH GUNNAR & CO. LLC (UNIONDALE NY)
BC
Issued 10/07/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/19/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/28/2021
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/22/2007
Series 24 - General Securities Principal Examination
BC
Issued 02/03/2006
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2013
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 10/11/2011
Series 3 - National Commodity Futures Examination
BC
Issued 09/16/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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