Heidi R. Bakker

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CRD#: 3025646

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.

Heidi R Bakker, who also goes by Heidi Ruth Bakker, Heidi Bakker, Heidi Ruth Caballero, Heidi Ruth Stroud, Heidi Stroud, was a registered financial professional .

Heidi is a previously registered financial professional and started their career in finance in 1999. Heidi had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Heidi Ruth Bakker | Heidi Bakker | Heidi Ruth Caballero | Heidi Ruth Stroud | Heidi Stroud

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 13, 2018 - February 21, 2019

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

Kansas City, MO

Past

November 9, 2018 - February 21, 2019

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

Kansas City, MO

Past

March 19, 2014 - October 18, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

HOUSTON, TX

Past

February 28, 2014 - October 18, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

September 6, 2012 - January 2, 2014

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

TULSA, OK

Past

September 6, 2012 - January 2, 2014

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

October 24, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

TULSA, OK

Past

October 21, 2008 - July 20, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

TULSA, OK

Past

February 6, 2004 - August 28, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HOUSTON, TX

Past

February 5, 2004 - August 28, 2007

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

HOUSTON, TX

Past

October 25, 1999 - June 3, 2003

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HOUSTON, TX

Past

October 22, 1999 - June 3, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 14, 1999 - September 27, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 14, 1999 - September 27, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 26, 1999 - August 23, 2000

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".

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: 10/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1999

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: 1/25/1999

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

Heidi R. Bakker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2006

Series 63

Date: 2/1/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1999

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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