Derek Carter
Derek Carter is a registered investment advisor at Esi Financial Advisors, based in Roanoke, VA, with 13 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,116 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
ESI Financial Advisors offers investment management through various programs. Fees vary depending on the program chosen and can include platform fees, strategist fees, and service fees.
ESI Illuminations programs charge a platform fee between 0.26% and 0.45% annually, plus strategist fees (0.02%-1.00%) and EFA's service fee (0-2.00%).
American Funds and Schwab Retirement Advisor Services have tiered fees, up to 1.00% annually on the first $1M, decreasing to 0.35% on amounts over $10M.
AssetMark fees are negotiated with the advisor, not to exceed 1.5% annually.
SEI fees are also negotiated, not to exceed 1.75% annually, plus a 0.05% administrative fee.
Location
4401 STARKEY RoaD, Po Drawer 21209, Roanoke, VA, 24018
Get directionsHistory
Regulatory History (1)
Criminal
February 2020Other Business ActivitiesSells Insurance
Derek is an insurance agent selling life, health, disability, and annuity products through National Financial Services/Fairway Financial Partners, dedicating nearly full-time hours to this. He also works as a shuttle driver, spending about 10% of his time on this non-investment related activity.
Employment History
Current Registrations
Equity Services, INC.Broker
Esi Financial Advisors
Previous Registrations
AXA Advisors, LLC
AXA Advisors, LLCBroker
Geneos Wealth Management, INC.Broker
Geneos Wealth Management, INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Banc of America Securities LLCBroker
State Registrations1 state
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.