Derek Anthony, financial advisor La Jolla CA
83 score

Derek Anthony

CRD Number: 2988107
Current Firm: Charles Schwab & Company, Inc.

Derek Anthony (CRD# 2988107) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in La Jolla, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab Bank La Jolla, CA Feb 2005 - Current 11
Charles Schwab & Company, Inc. La Jolla, CA Jul 2003 - Current 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1998
S66 NASAA Uniform Combined State Law Examination Nov 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Derek G. Anthony
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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