DP
DP
Derek Pritchard is a registered investment advisor, based in Dublin, CA, with 32 years of industry experience.
Location
11501 Dublin Blvd., Ste. 200, Dublin, CA, 94568
Get directionsHistory
Regulatory History (3)
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Customer Dispute
February 2014Denied
Employment Separation After Allegations
March 2002Customer Dispute
November 2001Denied
Other Business ActivitiesSells Insurance
Derek is a sole proprietor of Pritchard Asset Management, where he sells fixed insurance products. He also operates a sole proprietorship under the same name for marketing and branding, selling various types of insurance, dedicating about 10-20% of his time to these activities.
Employment History
Current Registrations
Parkland Securities, LLCBroker
November 2017 - Present · 8 yrs 6 mos
Spc
November 2017 - Present · 8 yrs 6 mos
Previous Registrations
Sagepoint Financial, INC.
January 2015 - November 2017 · 2 yrs 10 mos
Sagepoint Financial, INC.Broker
December 2014 - November 2017 · 2 yrs 11 mos
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
February 2009 - March 2014 · 5 yrs 1 mo
Bancwest Investment Services, INC.Broker
February 2009 - March 2014 · 5 yrs 1 mo
Wachovia Securities, LLCBroker
August 2007 - December 2008 · 1 yr 4 mos
Wachovia Securities, LLC
August 2007 - December 2008 · 1 yr 4 mos
Banc of America Investment Services, INC.
May 2002 - June 2007 · 5 yrs 1 mo
Banc of America Investment Services, INC.Broker
May 2002 - June 2007 · 5 yrs 1 mo
Wells Fargo Investments, LLCBroker
May 2001 - April 2002 · 11 mos
Wells Fargo Securities INC.Broker
September 1993 - May 2001 · 7 yrs 8 mos
Marketing One Securities, INC.Broker
August 1992 - September 1993 · 1 yr 1 mo
State Registrations2 states
CANV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.