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DL

Daniel J. Leary

LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
Some features on this profile are disabled
CRD#: 2205401
DL

Professional summary

Daniel Joseph Leary III, who also goes by Dan Leary III, is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Leary Iii

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 Daniel Joseph Leary III'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

March 8, 2011 - Present

LOCKTON INVESTMENT SECURITIES, LLC

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

September 29, 1998 - October 1, 2003

HUNTLEIGH SECURITIES CORPORATION

BD
CRD#: 7456
ST. LOUIS, MO
Past

February 2, 1998 - September 29, 1998

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past

February 10, 1992 - January 28, 1998

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
Missouri
(3/8/2011)
RR
New York
(1/31/2012)
RR
Ohio
(10/4/2017)
RR
Vermont
(7/2/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2011
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: 3/7/2011
Investment Company Products/Variable Contracts Representative 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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