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Derek Todd Main

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Information

Other Names: Derek T Main
Firm:
Type: Dual Registration
Description

Derek Main is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 3,650 registered representatives nationwide. Derek has held an industry securities registration for 4 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Tiaa-Cref Advice and Planning Services 1 month, 4 weeks Oct 2014 - Present
TIAA 1 month, 4 weeks 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
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 02/05/2010
General Securities Representative ExaminationSeries 7 01/25/2010

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

Derek Todd Main has not contributed any Financial Guides.
*Answers and guides 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

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
11/11/2014
11/17/2014
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: COMPENSATION FROM AFFILIATES