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Derek G Anthony
DEREK GEORGE ANTHONY
CRD#: 2988107
IA
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CHARLES SCHWAB & CO., INC.CRD#: 5393 7777 Fay Ave
Suite 105
La Jolla, CA 92037-4325
Suite 105
La Jolla, CA 92037-4325
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8/10/2009
Customer Dispute
Settled
State Registrations
B
Arizona 11/29/2012
B
Nevada 5/20/2024
B
California 7/30/2003
B
New Jersey 2/14/2017
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California 11/19/2003
B
New Mexico 3/28/2019
B
Colorado 1/4/2010
B
New York 2/4/2015
B
Florida 3/29/2019
B
North Carolina 12/16/2013
B
Georgia 1/3/2014
B
Oklahoma 3/28/2019
B
Idaho 3/29/2019
B
Oregon 1/5/2010
B
Illinois 5/15/2019
B
Pennsylvania 4/2/2019
B
Iowa 4/1/2019
B
South Carolina 4/1/2019
B
Maine 3/29/2019
B
South Dakota 4/5/2019
B
Massachusetts 6/30/2016
B
Texas 2/2/2015
B
Michigan 4/2/2019
B
Utah 3/29/2019
B
Minnesota 3/28/2019
B
Virginia 1/3/2012
B
Missouri 4/1/2019
B
Washington 1/4/2010
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Montana 1/11/2010
SRO Registrations
B
B
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Registered with this firm since 11/19/2003
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Registered with this firm since 7/30/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/01/2022 - 05/19/2024 | La Jolla, CA | |
IA | 09/01/2022 - 10/14/2022 | La Jolla, CA | |
B | 02/05/1998 - 12/31/2002 | WESTLAKE, TX |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.