Chad A. Holland

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CRD#: 2571584

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.

Chad Alexander Holland was a registered financial professional .

Chad is a previously registered financial professional and started their career in finance in 1995. Chad had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

January 24, 2017 - June 3, 2019

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

Fullerton, CA

Past

January 24, 2017 - June 3, 2019

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

KANSAS CITY, MO

Past

May 23, 2012 - December 31, 2015

MULLINTBG ADVISORS

RIA

CRD#: 141445

IRVINE, CA

Past

January 16, 2001 - October 22, 2015

M HOLDINGS SECURITIES, INC.

CRD#: 43285

IRVINE, CA

Past

April 16, 1997 - January 18, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 18, 1995 - March 18, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 18, 1995 - March 18, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1995

General Securities Representative Examination

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.

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Advisor Monitoring

Firm Stability Insights

Chad A. Holland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

MULLINTBG ADVISORS

M HOLDINGS SECURITIES, INC.

MUTUAL SERVICE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2012

Series 63

Date: 1/20/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1995

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

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