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Derek Lightner

Ally Invest Advisors
7 Years of Experience
Charlotte, NC
Broker
View SEC Summary
View SEC Summary

Derek Lightner is a registered investment advisor at Ally Invest Advisors, based in Charlotte, NC, with 7 years of industry experience. Derek is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 83,199 clients with $1.7B in assets under management.

Ally Invest Advisors
Compensation
Fee-Only (% of Portfolio)
Firm Size
83 advisors
Number of Clients
83,199 clients
Average Client Portfolio
$21K average
Assets Under Management
$1.7B

Fee Structure

Minimum Investment:$10
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.85%
$250K - $1.0M0.80%
$1M+0.75%

Rates apply to the Personal Advice service. Other programs include Market-Focused Robo Portfolios at a flat 0.30% and Guided Advice at a flat 0.50%. Cash-Enhanced Robo Portfolios have no advisory fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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View Full SEC Brochure

Location

601 S. Tryon Street, Suite 100, Charlotte, NC, 28202

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Derek is an Associate Specialist - Margin at Ally Invest Advisors, supporting both Ally Invest Securities and Ally Invest Advisors. He spends minimal time on this role.

Employment History
Current Registrations
Ally Invest Advisors
October 2021 - Present · 5 yrs
Ally Invest Securities LLCBroker
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
September 2019 - November 2020 · 1 yr 2 mos
Wells Fargo Clearing Services, LLCBroker
March 2019 - November 2020 · 1 yr 8 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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.
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