Michael R. Monahan

LOCKTON INVESTMENT ADVISORS

Mineapolis, MN 55416

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CRD#: 4825876

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 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Monahan

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; 5500 Wayzata Blvd Suite 510 Minneapolis, MN 55416; LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. LESS THAN 5% OF MY TIME I PROVIDE GENERAL INSURANCE BROKERAGE SERVICES (HEALTH INSURANCE, GROUP LIFE INSURANCE, ETC.) TO CLIENTS. LOCKTON INVESTMENT ADVISORS, LLC; 5500 Wayzata Blvd Suite 510 Minneapolis, MN 55416; APPROXIMATELY 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Monahan'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

July 23, 2020 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 5500 Wayzata Blvd Suite 510, Mineapolis, MN 55416

RIA

CRD#: 144133

Mineapolis, MN

Current

July 23, 2020 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112

CRD#: 137476

Kansas City, MO

Past

May 8, 2019 - July 16, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

MINNETONKA, MN

Past

March 22, 2019 - July 16, 2020

LPL FINANCIAL LLC

CRD#: 6413

MINNETONKA, MN

Past

July 20, 2007 - December 31, 2012

FOCUS CAPITAL GROUP, INC.

CRD#: 143240

MINNEAPOLIS, MN

Past

July 23, 2004 - April 20, 2005

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

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.

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

Minnesota
(7/23/2020)

IAR

Minnesota
(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

State Security Law Exam

Series 63

Date: 5/7/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/30/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/22/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/7/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2006

General Securities Principal Examination

SRO Registrations

FINRA

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

Michael R. Monahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Robert Monahan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FOCUS CAPITAL GROUP, INC.

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/2019

Series 65

Date: 4/30/2019

Series 66

Date: 12/1/2004

Series 6TO

Date: 3/22/2019

SIE

Date: 3/7/2019

Series 7

Date: 7/21/2004

Series 24

Date: 3/1/2006

FINRA

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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