DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C•••••• D•••••
Feed of 09/14/2026
Also filed as Caitlin S Derose
At current firm
5 y
since Dec 17, 2020
In the industry
14 y
since Jul 9, 2012 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 17, 2020 · West Seneca, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 4, 2017 to Apr 22, 2019 · Buffalo, Ny
- M•• S••••••••• I••• unclassifiedMar 20, 2017 to Jun 28, 2017 · Buffalo, Ny
- M••••• S•••••• wirehouseDec 17, 2015 to Mar 13, 2017 · Buffalo, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2012 to Dec 18, 2015 · Buffalo, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 22, 2019, registered Dec 17, 2020 (605 days) · Affiliated broker-dealer or bank to wirehouse
- M•• S••••••••• I••• to H••• S••••••••• •••• I•••left Jun 28, 2017, registered Oct 4, 2017 (98 days) · Other
- M••••• S•••••• to M•• S••••••••• I•••left Mar 13, 2017, registered Mar 20, 2017 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 18, 2015, registered Dec 17, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address