Individual Firm
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DEREK DANIEL WICKES
CRD#: 4291866
IA
B
MORGAN STANLEYCRD#: 149777 733 Bishop Street
Suite 2800
Honolulu, HI 96813
Suite 2800
Honolulu, HI 96813
0
Disclosures
23
Years of Experience
View By:
State Registrations
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Arizona 6/1/2009
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Minnesota 11/9/2023
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California 6/1/2009
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Nevada 6/1/2009
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Colorado 11/7/2012
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New Hampshire 11/8/2021
B
Connecticut 9/19/2012
B
New Mexico 1/10/2024
B
Delaware 2/29/2016
B
New York 5/3/2016
B
District of Columbia 12/18/2024
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Oklahoma 6/1/2009
B
Hawaii 6/1/2009
B
Oregon 6/1/2009
IA
Hawaii 6/1/2009
B
Pennsylvania 3/13/2019
B
Idaho 9/13/2017
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South Dakota 9/16/2021
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Indiana 1/29/2025
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Texas 4/14/2010
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Maine 6/1/2009
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Utah 1/22/2019
B
Maryland 3/24/2020
B
Vermont 3/5/2024
B
Massachusetts 6/1/2009
B
Virginia 2/27/2013
B
Michigan 6/6/2023
B
Washington 6/1/2009
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/22/2008 - 06/01/2009 | HONOLULU, HI | |
B | 04/02/2007 - 06/01/2009 | HONOLULU, HI | |
B | 02/06/2004 - 04/02/2007 | HONOLULU, HI | |
B | 01/29/2001 - 07/24/2003 | WESTLAKE, TX |
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B
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.
IA
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.