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DL

David B. Loucks

THIRD500
Wilmette, IL 60091
Some features on this profile are disabled
CRD#: 2593163
DL

Professional summary

David Burton Loucks, who also goes by David B Loucks, is a registered financial professional currently at THIRD500, LLC located in Wilmette, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 2011. David has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David B Loucks

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) - BD

Click below to view David Burton Loucks's 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

October 5, 2011 - Present

THIRD500, LLC

Office #1: 1150 Wilmette Avenue, Wilmette, IL 60091Office #2: 1150 Wilmette Avenue, Wilmette, IL 60091
BD
CRD#: 115542
Wilmette, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/5/2011)
RR
Maryland
(11/4/2021)
RR
New York
(1/17/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/9/2011
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/8/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THIRD500, LLC
HEALTHIOS CAPITAL MARKETS, LLC | VECTOR SECURITIES INTERNATIONAL, L.L.C. | THIRD500, LLC

CRD#: 115542 / SEC#: , 8-53489

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1150 Wilmette Avenue, Wilmette, IL 60091
Mailing Address
1150 Wilmette Avenue, Wilmette, IL 60091
Phone number
(847) 400-5001
Established
Delaware since 07/27/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THIRD500 HOLDING PTE LTDHOLDING COMPANY
GIBSON, BRIAN DEANCONTROLLER / FINOP5904321
LOUCKS, DAVID BURTONCEO, CHAIRMAN2593163
REICHENBACH, FREDERICKCHIEF COMPLIANCE OFFICER5844798
REICHENBACH, FREDERICKMANAGING DIRECTOR5844798

Disclosures

Regulatory Event2

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.

Company Information

THIRD500, LLC

CRD#: 115542Wilmette, IL 60091

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