JM
Jason B. Maples
LOCKTON INVESTMENT ADVISORS
DENVER, CO 80237
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CRD#: 2237883
JM
Professional summary
Jason Bezanson Maples, CFP®, ChFC®, CLU®, who also goes by Jason B Maples, is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Denver, Colorado and LOCKTON INVESTMENT SECURITIES, LLC located in Denver, Colorado.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jason has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
Jason B Maples
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.
DENVER METRO CHAMBER | | HOURS PER MONTH 10 | NATURE OF BUSINESS : OTHER - DENVER'S CHAMBER OF COMMERCE LEADERSHIP FOUNDATION | START DATE: 6/2/2013
College Invest (Colorado 529 Plan); 1560 Broadway, Suite 1700, Denver,CO 80202; Nature of Business - College Funding; Investment Related; Board Member/Consultant; 2 hours per month devoted to OBA; No Compensation Received
LOCKTON COMPANIES, LLC; 8110 E Union Avenue, Ste 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, Ste 700, Denver, CO, 80237; APPROXIMATELY 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Bezanson Maples's 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®
Start date: 1997
Experience
Current
September 16, 2014 - Present
LOCKTON INVESTMENT ADVISORS, LLC
Office #1: 8110 E Union Avenue Suite 700, Denver, CO 80237RIA
CRD#: 144133
DENVER, CO
Current
September 16, 2014 - Present
LOCKTON INVESTMENT SECURITIES, LLC
Office #1: 8110 E Union Suite 100, Denver, CO 80237BD
CRD#: 137476
Denver, CO
Past
June 1, 2009 - September 15, 2014
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
DENVER, CO
Past
June 1, 2009 - September 15, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
DENVER, CO
Past
January 28, 2004 - June 9, 2009
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
DENVER, CO
Past
January 28, 2004 - June 9, 2009
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
DENVER, CO
Past
January 1, 1999 - February 3, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
DENVER, CO
Past
May 14, 1998 - February 3, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 18, 1992 - May 11, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/16/2014)
RR
Arkansas(8/5/2021)
RR
California(9/16/2014)
RR
Colorado(9/16/2014)
IAR
Colorado(9/16/2014)
RR
Delaware(9/16/2014)
RR
District of Columbia(9/16/2014)
RR
Florida(9/16/2014)
RR
Georgia(9/16/2014)
RR
Hawaii(8/5/2021)
RR
Idaho(8/14/2017)
RR
Illinois(9/16/2014)
RR
Indiana(8/12/2019)
RR
Iowa(9/16/2014)
RR
Kansas(11/24/2015)
RR
Louisiana(8/14/2025)
RR
Massachusetts(9/16/2014)
RR
Michigan(8/12/2019)
RR
Minnesota(9/16/2014)
IAR
Missouri(9/16/2014)
RR
Montana(9/16/2014)
RR
Nebraska(9/16/2014)
RR
Nevada(8/5/2021)
RR
New Hampshire(8/5/2021)
RR
New Jersey(7/6/2015)
RR
New Mexico(9/16/2014)
RR
New York(9/16/2014)
RR
North Carolina(9/16/2014)
RR
North Dakota(7/8/2020)
RR
Ohio(9/16/2014)
RR
Oklahoma(9/16/2014)
RR
Oregon(9/16/2014)
RR
Pennsylvania(9/16/2014)
RR
Rhode Island(8/5/2021)
RR
South Dakota(8/5/2021)
RR
Texas(9/16/2014)
RR
Utah(9/16/2014)
RR
Vermont(8/5/2021)
RR
Virginia(9/16/2014)
RR
Washington(8/11/2017)
RR
Wisconsin(9/16/2014)
RR
Wyoming(9/16/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
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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)
Documents
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.
