Robert N. Andrew

LOCKTON INVESTMENT ADVISORS

DENVER, CO 80237

Some features on this profile are disabled

CRD#: 1874460

Professional summary

Robert Nelson Andrew JR is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Denver, Colorado and LOCKTON INVESTMENT SECURITIES, LLC located in Denver, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, 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.

LOCKTON COMPANIES, LLC; 8110 E UNION AVENUE, SUITE 700, DENVER CO 80237; LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. LESS THAN 5% OF MY TIME I PROVIDE GENERAL INSURANCE BROKERAGE SERVICES (HEALTH INSURANCE, GROUP LIFE INSURANCE, ETC.) TO CLIENTS. LOCKTON INVESTMENT ADVISORS, LLC; 8110 E UNION AVENUE, SUITE 700, DENVER CO 80237; APPROXIMATELY 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC. Cyclists 4 Community; 2013 Mapleton Ave, Boulder, CO 80304; Fundraising and community services; about 2 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Nelson Andrew JR'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

January 1, 2012 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 8110 E Union Avenue Suite 700, Denver, CO 80237

RIA

CRD#: 144133

DENVER, CO

Current

August 9, 2011 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 8110 E Union Suite 100, Denver, CO 80237

CRD#: 137476

Denver, CO

Past

October 1, 2010 - August 12, 2011

FINANCIAL TELESIS INC

CRD#: 31012

DENVER, CO

Past

October 21, 2002 - December 20, 2002

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 3, 1997 - October 21, 2002

ONE ORCHARD EQUITIES, INC.

CRD#: 42124

GREENWOOD VILLAGE, CO

Past

December 5, 1988 - January 3, 1997

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

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.

IAR

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

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

Arizona
(9/16/2014)

Colorado
(8/9/2011)

IAR

Colorado
(1/1/2012)

Delaware
(10/14/2024)

Missouri
(8/9/2011)

IAR

Missouri
(1/1/2012)

Virginia
(3/28/2016)

Washington
(12/11/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/30/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/9/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert N. Andrew

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Nelson Andrew JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

FINANCIAL TELESIS INC

EMPOWER FINANCIAL SERVICES, INC.

ONE ORCHARD EQUITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2011

Series 63

Date: 1/26/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 9/30/2010

Series 26

Date: 7/9/1997

FINRA

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

Contact information

Similar Advisors