James R. Darby

LOCKTON INVESTMENT ADVISORS

DALLAS, TX 75201

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CRD#: 2567936

Professional summary

James Royce Darby III, who also goes by James Royce Darby, Trey Darby, is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Dallas, Texas and LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Royce Darby | Trey Darby

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) - RIA

Click below to view James Royce Darby 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

December 19, 2011 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 2100 Ross Avenue, Suite 1200, Dallas, TX 75201

RIA

CRD#: 144133

DALLAS, TX

Current

March 14, 2011 - Present

LOCKTON INVESTMENT SECURITIES, LLC

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

CRD#: 137476

Kansas City, MO

Past

January 2, 2009 - January 10, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DENTON, TX

Past

June 12, 2006 - December 31, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

DENTON, TX

Past

April 22, 2005 - December 31, 2005

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

November 21, 2001 - December 31, 2004

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

September 15, 1998 - November 15, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 7, 1997 - September 9, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 3, 1995 - March 28, 1997

NYLIFE SECURITIES LLC

CRD#: 5167

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".

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

Arkansas
(3/14/2011)

Oklahoma
(3/14/2011)

Texas
(3/14/2011)

IAR

Texas
(12/19/2011)

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: 12/16/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/27/1994

Investment Company Products/Variable Contracts Representative 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)

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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

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

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James R. Darby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Royce Darby III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

KESTRA INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

LPL FINANCIAL LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2011

Series 63

Date: 12/27/1994

SIE

Date: 10/1/2018

Series 6

Date: 12/27/1994

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

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