Derek Michael Serlet

Current Employers

Legacy Financial, Ltd

Denver, CO • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2016-08-25

CO RA
APPROVED

Since 2016-08-25

Branch Locations

Denver, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
2D, Inc	Denver	CO	05/2012	Present
Legacy Financial, Ltd	Denver	CO	07/2016	Present

05/2012 → Present

2D, Inc

Denver, CO
07/2016 → Present

Legacy Financial, Ltd

Denver, CO

Previous Registrations

2012-04-20 → 2016-08-19

Waddell & Reed

Denver, CO

Las Vegas, NV

Other Businesses

4/2012-PRESENT, VARIOUS INSURANCE CARRIERS FOR W&R INSURANCE AGENCIES, DENVER, CO, INVEST-RELATED: Y, INSURANCE, INSURANCE AGENT.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-04-19

S66 Uniform Combined State Law Examination

2012-04-19

View on SEC IAPD