Derek Kessen has been an investment adviser representative at Steward Advisors Group since November 2022, and is not listed among the firm’s executive officers or direct owners.
Steward Advisors Group, LLC is a Halfmoon, NY firm with $105M under management, 109 clients and 8 advisers across 6 offices, as of its March 2026 filing.
- Steward Advisors Group, LLCCurrent– present · 4 yearsChicago, IL · Adviser representative · Firm CRD 321846
Investment adviser representative registrations
Derek Kessen is registered as an investment adviser representative in 2 states. Each was approved in November 2022.
- New YorkSince 7 November 2022
- TexasSince 15 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 July 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 15 March 2010 |
| Series 7 | General Securities Representative Examination | 28 July 2009 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Derek A. Kessen
- CRD
- 5445194
- Firm
- Steward Advisors Group · CRD 321846
- Office
- Chicago, IL
- Registration
- Investment adviser registration
- In the industry since
- March 2012
- Disciplinary history
- Not yet shown here · SEC record
Where does Derek Kessen work?
Derek Kessen is an investment adviser representative registered through Steward Advisors Group, LLC since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is Derek Kessen a financial advisor?
Yes. Derek Kessen has a current investment-adviser registration in New York and Texas, through Steward Advisors Group since November 2022.
How many years of experience does Derek Kessen have?
Derek Kessen has 14 years in the financial industry, since March 2012, across 1 adviser firm.
What exams has Derek Kessen passed?
Derek Kessen has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in July 2009. FINRA credited Derek Kessen with the SIE, which began in October 2018.
Where is Derek Kessen based?
Derek Kessen’s registered office is in Chicago, IL.
Is Derek Kessen registered with FINRA?
No. Derek Kessen has no current broker registration.
How can I verify Derek Kessen’s record?
Search CRD 5445194 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Derek Kessen’s full registration record.
- Donald SimmonsChief Executive Officer and Investment Advisor Representative
- Jansen HeinChief Compliance Officer and Chief Operating Officer
- Roberta DallasShareholder