Charles R. Grimes

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CRD#: 1085773

Professional summary

Being a previously registered professional could mean that this person 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.

Charles Roland Grimes, who also goes by Rocky Grimes, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rocky Grimes

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)

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

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

Past

September 16, 2014 - June 30, 2020

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

SCOTTSDALE, AZ

Past

September 16, 2014 - June 30, 2020

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

Scottsdale, AZ

Past

May 12, 2011 - September 15, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SCOTTSDALE, AZ

Past

May 21, 2008 - September 25, 2008

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

October 14, 2005 - February 7, 2011

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PHOENIX, AZ

Past

April 8, 2004 - October 28, 2005

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

May 9, 2001 - April 2, 2004

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

July 28, 2000 - May 7, 2001

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

JACKSONVILLE, FL

Past

September 1, 1999 - August 1, 2000

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 29, 1997 - September 2, 1999

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 18, 1997 - August 29, 1997

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 23, 1993 - August 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

November 21, 1990 - June 22, 1993

ARMA FINANCIAL SERVICES, INC.

CRD#: 18033

SCOTTSDALE, AZ

Past

September 15, 1983 - November 2, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 17, 1983 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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".

LOCKTON INVESTMENT ADVISORS, LLC

CRD#: 144133 / SEC#: 801-68005

RIA

Registered Investment Advisory firm - (6/18/2007 Approved)

Michigan

Registered Investment Advisory firm - (7/29/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/15/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/26/1997

General Securities Principal Examination

Current Firm

LOCKTON INVESTMENT ADVISORS, LLC

CRD#: 144133 / SEC#: 801-68005

RIA

Registered Investment Advisory firm - (6/18/2007 Approved)

Michigan

Registered Investment Advisory firm - (7/29/2013 Terminated)

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Contact information

Main Address

444 W 47th Street Suite 900, Kansas City, MO 64112

Mailing Address

Phone number

(816) 960-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LOCKTON ADV PART 2A 2025 (7/29/2025)

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

Charles R. Grimes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

CETERA ADVISORS LLC

CLARK SECURITIES, INC.

WESTPORT FINANCIAL SERVICES, L.L.C.

CETERA ADVISORS LLC

SECURITIES AMERICA, INC.

NATHAN & LEWIS SECURITIES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

ARMA FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1990

Series 22

Date: 12/15/1983

Series 6

Date: 2/14/1983

Series 24

Date: 11/26/1997

Current Firm

LOCKTON INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

LOCKTON INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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