SC
Suzette M. Clark
LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
Some features on this profile are disabled
CRD#: 3153620
SC
Professional summary
Suzette Michelle Clark, who also goes by Suzette Michelle Shatto, is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.
Suzette is registered as a RR (Registered Representative) and started their career in finance in 1999. Suzette has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Suzette Michelle Shatto
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.
CRS (Client Relationship Summary) - BD
Click below to view Suzette Michelle Clark's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 16, 2010 - Present
LOCKTON INVESTMENT SECURITIES, LLC
Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112BD
CRD#: 137476
Kansas City, MO
Past
April 1, 2008 - April 19, 2010
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
KANSAS CITY, MO
Past
August 31, 2000 - March 20, 2006
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
LEAWOOD, KS
Past
October 7, 1999 - January 8, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/7/2022)
RR
Alaska(7/7/2022)
RR
Arizona(6/22/2010)
RR
Arkansas(9/3/2015)
RR
California(4/21/2010)
RR
Colorado(6/22/2010)
RR
Connecticut(11/11/2010)
RR
Delaware(9/3/2015)
RR
District of Columbia(6/22/2010)
RR
Florida(6/22/2010)
RR
Georgia(4/21/2010)
RR
Hawaii(7/7/2022)
RR
Idaho(1/18/2011)
RR
Illinois(6/22/2010)
RR
Indiana(11/11/2010)
RR
Iowa(12/21/2010)
RR
Kansas(4/16/2010)
RR
Kentucky(6/22/2010)
RR
Louisiana(9/8/2015)
RR
Maine(7/7/2022)
RR
Maryland(4/21/2010)
RR
Massachusetts(6/22/2010)
RR
Michigan(6/22/2010)
RR
Minnesota(4/21/2010)
RR
Mississippi(7/7/2022)
RR
Missouri(4/16/2010)
RR
Montana(7/7/2022)
RR
Nebraska(11/11/2010)
RR
Nevada(9/8/2015)
RR
New Hampshire(9/3/2015)
RR
New Jersey(9/3/2015)
RR
New Mexico(7/7/2022)
RR
New York(6/22/2010)
RR
North Carolina(4/22/2010)
RR
North Dakota(12/13/2010)
RR
Ohio(6/22/2010)
RR
Oklahoma(9/3/2015)
RR
Oregon(4/21/2010)
RR
Pennsylvania(4/21/2010)
RR
Puerto Rico(7/7/2022)
RR
Rhode Island(7/7/2022)
RR
South Carolina(6/22/2010)
RR
South Dakota(7/7/2022)
RR
Tennessee(6/22/2010)
RR
Texas(4/21/2010)
RR
Utah(9/2/2015)
RR
Vermont(5/5/2011)
RR
Virginia(9/3/2015)
RR
Washington(4/21/2010)
RR
West Virginia(7/7/2022)
RR
Wisconsin(6/22/2010)
RR
Wyoming(9/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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.
