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Derek Thomas Loucks

CRD# 6302244·Registered 2015 - 2024
Previously Registered: Being a previously registered professional could mean that Derek is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Derek Thomas Loucks was a registered financial advisor. Derek was a previously registered financial professional and started their career in finance 2015 - 2024. Derek had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

11 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Nappanee, IN
October 6, 2015 - July 9, 2024
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Nappanee, IN
September 4, 2015 - July 9, 2024

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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) Avantax Insurance Agency LLC Nappanee IN Equity Indexed Annuity~Agent~12/10/2015~3hrs~3hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 2) DH Machine Inc 352 N Tomahawk Trail~Nappanee~IN~46550~Other~Owner~7/1/2016~60hrs~15hrs~I am a 50% owner of D.H. Machine and serve as its Vice President. My duties include analyzing financial performance, updating budgets, acquiring equipment, and execution of contracts and agreements with third parties. 3) Loucks Properties LLC 157 S Main Street~Nappanee~IN~46550~Rental Property~Owner~1/1/2017~2hrs~0hrs~I execute lease agreements with tenants. 4) Loucks Wealth Management PO Box 228~Nappanee~IN~46550~Other~Owner~10/12/2015~5hrs~5hrs~I manage the company's bank account and approve advertising work. 5) Loucks & Weaver CPA 157 S. Main Street~Nappanee~IN~46550~Accounting Services/Tax Preparation~Employee~5/1/2012~160hrs~110hrs~I am employed as a CPA and serve as the corporation's Secretary. I prepare business and individual tax returns and provide accounting and consulting to business clients. 6) DTTD Properties LLC 700 N Tomahawk Trail~Nappanee~IN~46550~Rental Property~Owner~3/15/2019~2hrs~2hrs~I own 50% of this entity. I maintain the records and manage relationships with tenants.| 7) ORCHARD PARK CAPITAL LLC POSITION: Managing Member NATURE: Entity currently only maintains a bank account with $960. No activity currently. Will own residential/commercial rental real estate in the future. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/25/2021 ADDRESS: 157 S. Main Street, Nappanee IN 46550, DESCRIPTION: Administration of entity. Purchasing real estate and executing lease agreements with tenants. 8) NAPPANEE METAL SUPPLY LLC POSITION: President NATURE: Distribution of steel and aluminum materials INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2023 ADDRESS: 157 S Main St, Nappanee IN 46550, United States DESCRIPTION: President - Administrative role

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2015About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2015About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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