Derek Andrew Leighton

Current Employers

Employment History

• 11/2014 → 01/2021
  Lpl Financial Llc
  Chicago, IL
• 04/2020 → 01/2021
  Iht Wealth Management Llc
  Chicago, IL
• 01/2021 → 01/2024
  Woodbury Financial Services Inc
  Windsor, WI
• 01/2024 → Present
  Osaic Wealth, Inc.
  Windsor, WI

Previous Registrations

• 2021-01-05 → 2024-01-19
  Woodbury Financial Services, Inc.
  Windsor, WI
• 2020-04-01 → 2020-12-31
  Iht Wealth Management Llc
  Deforest, WI
  Chicago, IL
• 2014-11-04 → 2020-03-27
  Lpl Financial Llc
  Appleton, WI
  Fort Mill, SC
  Deforest, WI
  Skokie, IL
  Deforest, WI
  Chicago, IL
• 2011-01-12 → 2014-10-31
  Sii Investments, Inc.
  Appleton, WI
• 2011-01-12 → 2014-10-31
  Investment Centers Of America, Inc.
  Appleton, WI
• 2009-09-08 → 2010-11-26
  Edward Jones
  Belleville, WI
  St Louis, MO

Other Businesses

1. TENACITY ADVISORY GROUP POSITION: Affiliated Advisor NATURE: S Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2021 ADDRESS: 2700 Vernon Dr, Green Bay WI 54304, United States DESCRIPTION: Share best practices with advisors and staff 2. E4 INSURANCE SERVICES POSITION: Insurance Rep NATURE: Insurance Agency - Life, LTC, FA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/04/2021 ADDRESS: 2280 45th St, Suite C, Fargo ND 58104, United States DESCRIPTION: Work with them on life insurance, LTC, and FA. 3. FULL SPECTRUM SOLUTIONS, LLC POSITION: Facilitate tax preparation with them for our Preferred Wealth Advisors clients and their tax services NATURE: Tax Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/07/2022 ADDRESS: 6562 Lake Rd, Ste 2, Windsor WI 53598, United States DESCRIPTION: Work with PWA clients who need tax services. Full Spectrum Solutions will prepare the taxes. I would only facilitate the delivery of information. 4. THE INSURANCE GROUP POSITION: Insurance Rep NATURE: Insurance Agency - Life, LTC, FA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/16/2022 ADDRESS: 2960 Triverton Pike Drive Suite #100, Fitchburg WI 53711, United States DESCRIPTION: Work with them on life insurance, LTC, and FA for our clients. 5. PREFERRED WEALTH ADVISORS POSITION: Financial Advisor NATURE: Preferred Wealth Advisors is a DBA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/04/2021 ADDRESS: 6562 Lake Rd, Windsor WI 53598, United States DESCRIPTION: Provide financial advice and guidance to clients and prospects. 6. 3 MARK FINANCIAL POSITION: Insurance Rep NATURE: Insurance Agency - Life, LTC, FA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/18/2023 ADDRESS: 1600 Highway 6 Ste 400, Sugar Land TX 77478, United States DESCRIPTION: Work with them on life insurance, LTC, and FA. 7. PREFERRED TAX PLANNING, LLC POSITION: Tax Preparer NATURE: LLC. Tax preperation. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/02/2026 ADDRESS: 6562 Lake Rd. Suite 1, Windsor WI 53598, United States DESCRIPTION: Tax preparation for Preferred Tax Planning clients.

Exams

• S66 Uniform Combined State Law Examination
  2009-09-04