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JW

Jeffrey J. Wallace

Some features on this profile are disabled
CRD#: 2060419
JW

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.

Jeffrey John Wallace, who also goes by Jeffrey J Wallace, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey J Wallace

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; 4275 Executive Square, Ste 600, La Jolla, CA 92037; 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; 4275 Executive Square, Ste 600, La Jolla, CA 92037; APPROXIMATELY 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC.

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

June 13, 2017 - July 2, 2025

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
La Jolla, CA
Past

June 13, 2017 - July 2, 2025

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
LaJolla, CA
Past

October 2, 2015 - April 19, 2017

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Murrieta, CA
Past

October 2, 2015 - April 19, 2017

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

December 5, 2014 - October 1, 2015

BMO INVESTMENT DISTRIBUTORS, LLC

BD
CRD#: 146711
CHICAGO, IL
Past

August 22, 2012 - December 31, 2014

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

August 15, 2012 - December 31, 2014

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
TORRANCE, CA
Past

February 16, 2010 - August 26, 2010

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
MATTHEWS, NC
Past

November 19, 2008 - August 26, 2010

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 23, 2007 - October 2, 2008

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
CHARLOTTE, NC
Past

June 4, 1990 - November 14, 1990

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421

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".
LI
LOCKTON INVESTMENT ADVISORS, LLC
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)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/22/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LI
LOCKTON INVESTMENT ADVISORS, LLC
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
24

SEC notice filing (41 States and Territories)

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

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.

Company Information

LOCKTON INVESTMENT ADVISORS, LLC

CRD#: 144133

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