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Frank R. Arcara

Some features on this profile are disabled
CRD#: 3052711
FA

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.

Frank Russel Arcara was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1998. Frank had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 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

September 16, 2014 - May 31, 2016

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
DENVER, CO
Past

September 16, 2014 - May 31, 2016

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
DENVER, CO
Past

June 1, 2009 - September 15, 2014

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
DENVER, CO
Past

June 1, 2009 - September 15, 2014

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
DENVER, CO
Past

November 2, 2004 - June 2, 2009

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
DENVER, CO
Past

June 18, 2004 - June 2, 2009

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
DENVER, CO
Past

October 7, 1999 - January 5, 2000

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

May 14, 1998 - March 12, 1999

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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".
LI
LOCKTON INVESTMENT ADVISORS, LLC
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)

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
RR
Series 63
Date: 3/6/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/1/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LI
LOCKTON INVESTMENT ADVISORS, LLC
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
24

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

LOCKTON INVESTMENT ADVISORS, LLC

CRD#: 144133

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