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Derek Todd Main

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Other Names: Derek T Main
Type: SEC and FINRA Registered

Derek Main is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 4,000 registered representatives nationwide. Derek has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
TIAA 1 year Oct 2014 - Present
Tiaa-Cref Advice and Planning Services 1 year Oct 2014 - Present
Morgan Stanley Smith Barney 3 years Oct 2011 - Oct 2014
Edward Jones 1 year, 10 months Dec 2009 - Oct 2011
Main Development Company, LLC 8 years, 5 months Jul 2001 - Dec 2009
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 02/05/2010
General Securities Representative ExaminationSeries 7 01/25/2010

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Derek Todd Main has not answered any questions on Financial Q&A.

Top Articles

Derek Todd Main has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets