Derek Batz
Advisor at LPL Financial
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Location
Dushore, PA 18614
Credentials
Series 63, Series 65
Industry experience
34 years
About
Derek Batz is a financial advisor with LPL Financial who holds Series 63 and Series 65 designations and has 34 years of industry experience. He has been with LPL Financial since 2004 and has operated his own advisory business since 2001. Outside of his advisory work, he sells motorcycle parts online and performs tax preparation and bookkeeping services. LPL Financial provides advisory and brokerage services to a diverse client base, including individual investors, retirement plan sponsors, banks, charities, and high-net-worth households. The firm offers a variety of investment solutions supported by an in-house research team and a large network of investment adviser representatives.
Client services
Based on LPL Financial
Financial planning
Portfolio management
Educational seminars or workshops
Consulting and other non-discretionary advisory services
Consulting and other non-discretionary advisory services
Expertise
Based on LPL Financial
Wealth management
Retirement plans for business owners (SEP, solo 401k)
College savings (529s, UTMA, etc.)
Tax-loss harvesting
Fee options
Financial planning and consulting services may be charged a flat fee as negotiated.
Brokerage services include commissions, markups, markdowns, and transaction charges; commissions may apply to mutual funds, variable annuities, and other products.
Financial planning hourly fees up to $500 per hour.
Fee-only: Financial planning fees typically range up to $15,000, or up to $500 per hour; fees are negotiated and may be flat or hourly.
Location
114 Carpenter Street
Dushore, PA 18614
Most active in
Derek B has reported serving >5 clients in these states in the last 12 months.
Pennsylvania · Texas
Work history
LPL Financial
2004 - Present (22 years)
Derek Batz
2001 - Present (25 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Thomas Charmley is a financial advisor at Wells Fargo Clearing with 23 years of industry experience. He holds Series 63 and Series 65 credentials. His prior experience includes roles at Morgan Stanley Smith Barney and Morgan Stanley Private Bank. Wells Fargo Clearing provides retirement plan consulting services to qualified ERISA and non-qualified deferred compensation plans, offering both discretionary and non-discretionary solutions. The firm’s advisory process is IPS-driven and incorporates a broad range of financial products, including insurance-related vehicles and bank deposit sweep options.
Julie C
Series 63, Series 65
Yalusing, PA
LPL Financial
Julie Clementi is a financial advisor at LPL Financial with seven years of industry experience. She holds Series 63 and Series 65 licenses and has previously worked at Community Bank, First Keystone Bank, Infinex Investments, Valley National Investments, Santander Securities, and Santander Bank. Outside of her advisory role, she serves as a notary for the Eastern Monroe Public Library. LPL Financial provides advisory and brokerage services to a diverse client base, including individual investors, retirement plan sponsors, institutions, charities, and high-net-worth households. The firm offers a wide range of investment solutions supported by an in-house research team and a large network of investment adviser representatives.
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