Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derrick? Claim Your ProfileDerrick Gallion jr is a financial advisor who has been in the industry since 2003. Derrick is a Registered Representative of LPL Enterprise, LLC and holds a Series 63, 65, 66, 7, 3, 4, 24, 52TO, 53, 55, 57TO and 99TO license. Derrick is also licensed to conduct business in South Carolina and Texas. Derrick has previously worked with TD Ameritrade, Inc., Charles Schwab & Co., Inc., LPL Financial, LLC, UVEST Financial Services Group, Inc., Commonwealth Financial Network, LPL Financial Corporation, Summit Brokerage Services, Inc., TRADESTATION SECURITIES, INC., ITRADEDIRECT.COM CORP and AXA Advisors, LLC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
A percentage of the total value of assets under management is charged.
1
2
SC
09/19/2024 - Present
LPL Enterprise, LLC (FORT MILL SC)
TX
01/11/2021 - 01/10/2024
CHARLES SCHWAB & CO., INC. (Westlake TX)
NE
11/01/2019 - 01/12/2021
TD AMERITRADE, INC. (OMAHA NE)
CA
10/22/2010 - 11/04/2019
LPL FINANCIAL LLC (SAN DIEGO CA)
NC
01/24/2011 - 12/23/2011
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
CA
08/13/2008 - 10/22/2010
COMMONWEALTH FINANCIAL NETWORK (SAN DIEGO CA)
CA
03/26/2008 - 08/11/2008
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
FL
05/22/2006 - 03/02/2007
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
FL
06/20/2003 - 05/12/2006
TRADESTATION SECURITIES, INC. (PLANTATION FL)
FL
04/29/2003 - 06/11/2003
ITRADEDIRECT.COM CORP (BOCA RATON FL)
NY
10/18/2002 - 03/06/2003
AXA ADVISORS, LLC (NEW YORK NY)
NE
12/12/2001 - 06/28/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 09/22/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/09/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/19/2009
Series 4 - Registered Options Principal Examination
BC
Issued 10/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/07/2005
Series 24 - General Securities Principal Examination
BC
Issued 03/20/2024
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2013
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/11/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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