Brett M. Loxterman
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.
Brett Micheal Loxterman, who also goes by Brett Michael Loxterman, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2005. Brett had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2021 - March 3, 2025
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
June 18, 2018 - July 16, 2021
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
August 23, 2016 - July 16, 2021
JOHN HANCOCK DISTRIBUTORS LLC
April 29, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
April 14, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
January 7, 2015 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
January 7, 2015 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
May 1, 2013 - October 23, 2014
LOCKTON INVESTMENT ADVISORS, LLC
March 4, 2013 - October 23, 2014
LOCKTON INVESTMENT SECURITIES, LLC
October 13, 2005 - November 17, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 25, 2005 - November 17, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Primary Firm SEC Registration
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
CRD#: 110774 / SEC#: 801-60138
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 3/28/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CAVANAL HILL INVESTMENT MANAGEMENT, INC.
CRD#: 110774 / SEC#: 801-60138
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,326 |
| AUM (Assets Under Management) | $ 14,223,562,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/18/2024 | ||
| 08/25/2023 | ||
| 09/26/2022 |
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.
