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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derick? Claim Your ProfileDerick Pantoja is a financial advisor at Wells Fargo Clearing Services, LLC. Derick has been in the industry since 2003 and has experience working with a variety of clients, including individuals, corporations, and charitable organizations. Derick holds the Series 6, 7, 63 and 66 licenses and the SIE designation. Derick currently works in the YONKERS, NY branch office of Wells Fargo Clearing Services, LLC. Derick is a licensed investment advisor representative in California, Connecticut, Florida, Maryland, Nevada, New Jersey, New York, Ohio, Rhode Island, Texas, and Virginia.
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.
1
2
NY
05/09/2024 - Present
Wells Fargo Clearing Services, LLC (YONKERS NY)
NY
03/11/2008 - 04/10/2012
WELLS FARGO ADVISORS, LLC (YONKERS NY)
NY
11/10/2004 - 05/18/2007
WACHOVIA SECURITIES, LLC (WHITE PLAINS NY)
IL
12/09/2003 - 07/28/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BOTH
Issued 04/05/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/08/2003
Series 6 - Investment Company Products/Variable Contracts 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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