Jonathan L. Lokken

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CRD#: 2956806

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.

Jonathan Lawrence Lokken, CIMA® was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1997. Jonathan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

August 18, 2016 - November 20, 2024

LOKKEN INVESTMENT GROUP, LLC

RIA

CRD#: 283696

LEWES, DE

Past

December 3, 2008 - July 21, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

LEWES, DE

Past

December 3, 2008 - July 21, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

LEWES, DE

Past

November 16, 1999 - December 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

REHOBOTH BEACH, DE

Past

October 20, 1999 - December 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

REHOBOTH BEACH, DE

Past

November 18, 1997 - October 20, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

LOKKEN INVESTMENT GROUP, LLC

CRD#: 283696 / SEC#: 801-114384

RIA

Registered Investment Advisory firm - (12/7/2018 Approved)

Delaware

Registered Investment Advisory firm - (1/3/2019 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 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: 12/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/22/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/8/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/10/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

LOKKEN INVESTMENT GROUP, LLC

CRD#: 283696 / SEC#: 801-114384

RIA

Registered Investment Advisory firm - (12/7/2018 Approved)

Delaware

Registered Investment Advisory firm - (1/3/2019 Terminated)

Maryland

Registered Investment Advisory firm - (12/27/2018 Terminated)

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Contact information

Main Address

1413 Savannah Road, Suite 4, Lewes, DE 19958

Mailing Address

Phone number

(302) 645-6650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,345
AUM (Assets Under Management)	$ 366,520,850

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

Jonathan L. Lokken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LOKKEN INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1997

Series 63

Date: 12/9/1997

SIE

Date: 7/21/2016

Series 31

Date: 12/22/1997

Series 7

Date: 11/17/1997

Series 10

Date: 10/8/2001

Series 9

Date: 9/10/2001

Current Firm

LOKKEN INVESTMENT GROUP, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOKKEN INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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