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ML

Mark I. Levitats

LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
Some features on this profile are disabled
CRD#: 1895440
ML

Professional summary

Mark Ira Levitats, CFP®, who also goes by Mark Ira Levitats, Mark Levitats, is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

What are your service offerings?
Investment Planning
Insurance Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
No

Aliases

Mark Ira Levitats | Mark Levitats

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 Mark Ira Levitats'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®
CFP®

Certified Financial Planner

Start date: 1994

Experience

Current

February 26, 2024 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112
BD
CRD#: 137476
Kansas City, MO
Past

January 20, 2022 - June 30, 2023

CREATIVE PLANNING

RIA
CRD#: 105348
Pembrook Pines, FL
Past

November 14, 2019 - December 31, 2021

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
Miami, FL
Past

September 23, 2019 - December 14, 2021

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
Miami, FL
Past

October 9, 2008 - September 13, 2019

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DORAL, FL
Past

April 16, 2001 - October 10, 2008

OSAIC FS, INC.

BD
CRD#: 3870
MIAMI, FL
Past

March 3, 1994 - April 10, 2001

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

February 18, 1992 - February 23, 1993

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

January 9, 1989 - October 9, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

January 9, 1989 - October 9, 1990

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
Florida
(2/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/15/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/6/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/15/2022
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LOCKTON INVESTMENT SECURITIES, LLC
LOCKTON FINANCIAL ADVISORS, LLC | LOCKTON INVESTMENT SECURITIES, LLC | LOCKTON INVESTMENT SECURITIES SERVICES, LLC

CRD#: 137476 / SEC#: , 8-67090

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

Main Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Mailing Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Phone number
(816) 960-9000
Established
Missouri since 05/01/2016
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LOCKTON INSURANCE AGENCY, LLC DBA LOCKTON COMPANIESCORPORATE UNIT HOLDER
CLARK, SUZETTE MICHELLEPRESIDENT3153620
HAYES, SUSAN ANNFINOP, CFO2856326
LOCKTON MANAGEMENT, LLCMANAGER
PATTEN, DEIRDRE MARIANCCO1357509

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

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476Kansas City, MO 64112

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