Andrew B. Scott

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CRD#: 4217266

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.

Andrew B Scott was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2000. Andrew had worked at 7 firms and has passed the Series 65, Series 63, Series 66, Series 6 and Series 7 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®

None

Experience

Past

February 4, 2013 - April 28, 2014

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

ATLANTA, GA

Past

February 4, 2013 - April 28, 2014

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

ATLANTA, GA

Past

April 9, 2012 - January 15, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

September 13, 2011 - October 10, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

December 15, 2003 - October 20, 2004

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 15, 2002 - October 20, 2004

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

November 12, 2001 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

Past

September 13, 2000 - June 20, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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: 1/7/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/9/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 9/12/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 9/12/2000

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

Andrew B. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PERSHING LLC

BNY ADVISORS

LOCKWOOD FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/2013

Series 63

Date: 5/29/2012

Series 66

Date: 10/9/2000

Series 6

Date: 9/12/2011

Series 7

Date: 9/12/2000

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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