AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CD

Cole B. Dunlap

LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
CRD#: 4905971
Some features on this profile are disabled
CD
Cole Bradley DunlapLOCKTON INVESTMENT SECURITIES

Professional summary

Cole Bradley Dunlap, who also goes by Cole Dunlap, is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

Cole is registered as a RR (Registered Representative) and started their career in finance in 2005. Cole has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cole Dunlap

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) - BD

Click below to view Cole Bradley Dunlap'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

April 16, 2010 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112Office #2: 7045 College Blvd 5th Floor, Overland Park, KS, 66211
BD
CRD#: 137476
Kansas City, MO
Past

February 28, 2008 - April 19, 2010

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
KANSAS CITY, MO
Past

March 21, 2005 - February 22, 2006

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 21, 2005 - February 22, 2006

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(5/1/2025)
RR
Alaska
(5/1/2025)
RR
Arizona
(5/1/2025)
RR
Arkansas
(5/1/2025)
RR
California
(5/1/2025)
RR
Colorado
(5/1/2025)
RR
Connecticut
(5/1/2025)
RR
Delaware
(5/1/2025)
RR
District of Columbia
(5/1/2025)
RR
Florida
(5/1/2025)
RR
Georgia
(5/1/2025)
RR
Hawaii
(5/1/2025)
RR
Idaho
(5/1/2025)
RR
Illinois
(5/1/2025)
RR
Indiana
(5/1/2025)
RR
Iowa
(5/1/2025)
RR
Kansas
(5/1/2025)
RR
Kentucky
(5/1/2025)
RR
Louisiana
(5/1/2025)
RR
Maine
(5/1/2025)
RR
Maryland
(5/1/2025)
RR
Massachusetts
(5/1/2025)
RR
Michigan
(5/1/2025)
RR
Minnesota
(5/1/2025)
RR
Mississippi
(5/1/2025)
RR
Missouri
(11/10/2010)
RR
Montana
(5/1/2025)
RR
Nebraska
(5/1/2025)
RR
Nevada
(5/1/2025)
RR
New Hampshire
(5/1/2025)
RR
New Jersey
(5/1/2025)
RR
New Mexico
(5/1/2025)
RR
New York
(5/1/2025)
RR
North Carolina
(5/1/2025)
RR
North Dakota
(5/1/2025)
RR
Ohio
(5/2/2025)
RR
Oklahoma
(5/1/2025)
RR
Oregon
(5/1/2025)
RR
Pennsylvania
(5/1/2025)
RR
Puerto Rico
(5/1/2025)
RR
Rhode Island
(5/1/2025)
RR
South Carolina
(5/1/2025)
RR
South Dakota
(5/1/2025)
RR
Tennessee
(5/1/2025)
RR
Texas
(5/1/2025)
RR
Utah
(5/1/2025)
RR
Vermont
(5/1/2025)
RR
Virginia
(5/1/2025)
RR
Washington
(5/1/2025)
RR
West Virginia
(5/1/2025)
RR
Wisconsin
(5/1/2025)
RR
Wyoming
(5/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LOCKTON INVESTMENT SECURITIES, LLC
LOCKTON FINANCIAL ADVISORS, LLC | LOCKTON INVESTMENT SECURITIES, LLC | LOCKTON INVESTMENT SECURITIES SERVICES, LLC

CRD#: 137476 / SEC#: , 8-67090

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Loading...

Contact information

Main Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Mailing Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Phone number
(816) 960-9000
Established
Missouri since 05/01/2016
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LOCKTON INSURANCE AGENCY, LLC DBA LOCKTON COMPANIESCORPORATE UNIT HOLDER
CLARK, SUZETTE MICHELLEPRESIDENT3153620
HAYES, SUSAN ANNFINOP, CFO2856326
LOCKTON MANAGEMENT, LLCMANAGER
PATTEN, DEIRDRE MARIANCCO1357509

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.

Company Information

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476Kansas City, MO 64112

TRUST BUT VERIFY

Monitor Cole Dunlap

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert Wesley Shannon
Robert ShannonAdvisorCheck Check Mark
BRAZOS WEALTH ADVISORS LLC
IAR
FORT WORTH, TX
Kenneth Bernard Hopkins
Kenneth HopkinsAdvisorCheck Check Mark
ORION WEALTH MANAGEMENT LLC
IAR
RR
RICHARDSON, TX
Trishul Patel
Trishul PatelAdvisorCheck Check Mark
INVESTING FOREVER ADVISORY
IAR
West Palm Beach, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.