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EC

Erika M. Chavez

Some features on this profile are disabled
CRD#: 2852894
EC

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.

Erika Marie Chavez was a registered financial professional .

Erika is a previously registered financial professional and started their career in finance in 1997. Erika had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

July 2, 2008 - July 18, 2012

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
DALLAS, TX
Past

July 27, 2007 - April 19, 2013

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
DALLAS, TX
Past

January 25, 2007 - August 1, 2007

OSAIC SERVICES, INC.

RIA
CRD#: 133763
DALLAS, TX
Past

August 24, 2006 - July 2, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
DALLAS, TX
Past

November 15, 2005 - July 31, 2006

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

July 8, 2005 - September 15, 2005

WADDELL & REED

RIA
CRD#: 866
FORT WORTH, TX
Past

June 23, 2005 - September 15, 2005

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

August 20, 2003 - September 29, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

October 21, 2002 - May 19, 2003

PAN-AMERICAN FINANCIAL ADVISERS

BD
CRD#: 15578
NEW ORLEANS, LA
Past

August 19, 1997 - July 18, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

May 14, 1997 - July 2, 1997

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

April 10, 1997 - April 29, 1997

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/9/1997
Investment Company Products/Variable Contracts Representative Examination

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#: 137476

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