Derek M. Schug

KESTRA INVESTMENT MANAGEMENT.

Austin, TX 78735

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CRD#: 2285430

Professional summary

Derek Matthew Schug is a registered financial advisor currently at KESTRA INVESTMENT MANAGEMENT, LLC. located in Austin, Texas.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Derek has worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Matthew Schug's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 16, 2022 - Present

KESTRA INVESTMENT MANAGEMENT, LLC.

Office #1: 5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735

RIA

CRD#: 317711

Austin, TX

Past

October 9, 2013 - March 4, 2015

SANDBOX INVESTMENTS PARTNERS

RIA

CRD#: 168513

HANOVER, MA

Past

August 18, 2009 - April 25, 2012

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

April 14, 2005 - November 21, 2012

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

August 16, 2000 - April 12, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

November 9, 1992 - August 18, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/16/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/17/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/6/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/2/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/20/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

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Contact information

Main Address

5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA IM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,421
AUM (Assets Under Management)	$ 2,615,262,770

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Derek M. Schug

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Matthew Schug's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDBOX INVESTMENTS PARTNERS

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

BOFA DISTRIBUTORS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

KESTRA INVESTMENT MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1992

Series 3

Date: 3/17/2015

Series 7

Date: 10/6/1993

Series 6

Date: 11/2/1992

Series 26

Date: 5/20/2002

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KESTRA INVESTMENT MANAGEMENT, LLC.

TRUST BUT VERIFY

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