Wendy J. Rogacki

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CRD#: 2710653

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.

Wendy Jo Rogacki, who also goes by Wendy Jo Johnson, was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 2011. Wendy had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy Jo Johnson

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

November 27, 2012 - October 1, 2014

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

DENVER, CO

Past

November 27, 2012 - October 1, 2014

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

DENVER, CO

Past

May 30, 2011 - June 1, 2012

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

DENVER, CO

Past

January 17, 2011 - June 1, 2012

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

DENVER, CO

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 65

Date: 5/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/14/2011

Investment Company Products/Variable Contracts 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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Wendy J. Rogacki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2011

Series 63

Date: 3/18/2011

SIE

Date: 10/1/2014

Series 6

Date: 1/14/2011

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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