Michael Robert Monahan
Professional Summary
Michael Robert Monahan, who also goes by Michael Monahan, is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Mineapolis, Minnesota and LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 63, Series 65, Series 66, Series 6TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Monahan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
LOCKTON INVESTMENT ADVISORS, LLC
Contact Information
Main Address
7045 College Blvd 5th Floor, Overland Park, KS 66211Phone Number
(816) 960-9000# of Employees
24SEC notice filing (41 States and Territories)
Registered to provide investment advisory services in 41 US states and territories.
Documents
Part 2 Brochures
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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.
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Primary Firm SEC Registration
LOCKTON INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(7/23/2020)
(7/23/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2019About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Monahan's CRS (Customer Relationship Summary).
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