ND
Nathan R. Derks
LANDOLT SECURITIES
West Bend, WI 53095
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CRD#: 5008765
ND
Professional summary
Nathan R Derks is a registered financial advisor currently at LANDOLT SECURITIES, INC. located in West Bend, Wisconsin.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nathan has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
1. Oaktree Brokerage Insurance Agent selling term life insurance. Approx 2 hrs per month. Established 6/2015. 2. Tax Center of Wisconsin, LLC. Owner TAX PREP AND ACCOUNTING, 30 hrs per month during tax season. start 1/2015 3. Eulert Accounting LLC, Partner, business accounting, payroll and tax services. 30 hours per month, start July 2018. 4. Nathan Derks Insurance, investment related, 2395 W. Washington St. Ste. 104 West Bend WI 53095, fixed annuity sales, sole proprietor, 11/23/22, 1 hour/month not during trading hours 5. DFG Properties, LLC, not investment related, 2125 W. Washington St. West Bend WI 53095, personal real estate ownership, owner/member, start 6/1/2023, 1 hour/month not during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Nathan R Derks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan R Derks'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®
NoneExperience
Current
September 7, 2017 - Present
LANDOLT SECURITIES, INC.
Office #1: 2125 W. Washington St., West Bend, WI 53095RIA
BD
CRD#: 28352
West Bend, WI
Current
September 7, 2017 - Present
LANDOLT SECURITIES, INC.
Office #1: 2125 W. Washington St., West Bend, WI 53095RIA
BD
CRD#: 28352
West Bend, WI
Past
April 17, 2013 - September 6, 2017
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
PEWAUKEE, WI
Past
April 17, 2013 - September 6, 2017
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
PEWAUKEE, WI
Past
May 10, 2012 - April 8, 2013
TD AMERITRADE, INC.
RIA
CRD#: 7870
BROOKFIELD, WI
Past
May 10, 2012 - April 8, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
BROOKFIELD, WI
Past
May 10, 2012 - April 8, 2013
TD AMERITRADE, INC.
BD
CRD#: 7870
BROOKFIELD, WI
Past
February 18, 2010 - May 15, 2012
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
PEWAUKEE, WI
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.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
Arizona(1/4/2018)
RR
Colorado(7/23/2024)
RR
Florida(1/4/2018)
RR
Illinois(1/8/2021)
RR
Michigan(10/12/2017)
RR
Minnesota(9/7/2017)
RR
Missouri(9/4/2019)
RR
Nebraska(9/29/2022)
RR
South Carolina(1/4/2018)
RR
Wisconsin(9/7/2017)
IAR
Wisconsin(9/7/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LANDOLT SECURITIES, INC.
FISN | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Illinois
Registered Investment Advisory firm - SEC (10/10/2006 Approved)Indiana
Registered Investment Advisory firm - SEC (3/23/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/16/2017 Approved)Ohio
Registered Investment Advisory firm - SEC (7/6/2017 Approved)Texas
Registered Investment Advisory firm - SEC (4/28/2020 Approved)Wisconsin
Registered Investment Advisory firm - SEC (3/26/2002 Approved)Wyoming
Registered Investment Advisory firm - SEC (7/25/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Mailing Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Phone number
(847) 838-5151
Established
Wisconsin since 11/09/1989
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
11
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
