Keith R. Mulvihill

LOCKTON INVESTMENT ADVISORS

WASHINGTON, DC 20006

Some features on this profile are disabled

CRD#: 4223162

Professional summary

Keith Richard Mulvihill is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Washington, District Of Columbia.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Keith has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

LOCKTON COMPANIES, LLC; 1801 K STREET NW SUITE 200, WASHINGTON DC 20006; LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. I SPEND APPROXIMATELY 110-115 HOURS PER MONTH IN GENERAL INSURANCE BROKERAGE SERVICES (HEALTH INSURANCE, GROUP LIFE INSURANCE, ETC.) TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Richard Mulvihill's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 24, 2014 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 1801 K Street Nw Suite 200, Washington, DC 20006

RIA

CRD#: 144133

WASHINGTON, DC

Past

September 8, 2000 - January 19, 2006

DMG SECURITIES, INC.

CRD#: 15480

GREAT FALLS, VA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

District of Columbia
(3/14/2014)

IAR

Virginia
(2/24/2014)

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: 2/24/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/7/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2003

General Securities Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith R. Mulvihill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Richard Mulvihill's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKTON INVESTMENT ADVISORS, LLC

DMG SECURITIES, INC.

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2014

Series 63

Date: 9/18/2000

Series 7

Date: 9/7/2000

Series 24

Date: 3/8/2003

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

Similar Advisors