KH
Kyle R. Hartman
LOCKTON INVESTMENT ADVISORS
Kansas City, MO 64112
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CRD#: 5093832
KH
Professional summary
Kyle Randall Hartman, CFA is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Kansas City, Missouri and LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kyle has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 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,444 W 47TH ST, SUITE 900,KANSAS CITY,MO 64112. LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. I SPEND BETWEEN 70 AND 80 HOURS PER MONTH IN GENERAL INSURANCE BROKERAGE SERVICES (HEALTH INSURANCE, GROUP LIFE INSURANCE, ETC.) TO CLIENTS.
LOCKTON INVESTMENT ADVISORS, LLC - 444 W 47TH STREET SUITE 900, KANSAS CITY, MO 64112. APPROXIMATELY 30% OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle Randall Hartman's 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®
Experience
Current
May 23, 2013 - Present
LOCKTON INVESTMENT ADVISORS, LLC
Office #1: 444 W 47th Street Suite 900, Kansas City, MO 64112RIA
CRD#: 144133
Kansas City, MO
Current
July 1, 2008 - Present
LOCKTON INVESTMENT SECURITIES, LLC
Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112BD
CRD#: 137476
Kansas City, MO
Past
January 11, 2007 - July 2, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
KANSAS CITY, MO
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".
LI
LOCKTON INVESTMENT ADVISORS, LLC
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)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.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(11/14/2017)
RR
Arizona(11/28/2017)
RR
Arkansas(6/26/2014)
RR
California(4/27/2012)
RR
Colorado(4/27/2012)
RR
Connecticut(11/28/2017)
RR
Delaware(11/28/2017)
RR
Florida(9/30/2016)
RR
Georgia(1/24/2012)
RR
Hawaii(11/14/2017)
RR
Idaho(11/28/2017)
RR
Illinois(12/20/2011)
RR
Indiana(11/28/2017)
RR
Iowa(3/30/2011)
RR
Kansas(7/1/2008)
RR
Kentucky(11/28/2017)
RR
Louisiana(11/28/2017)
RR
Maine(11/28/2017)
RR
Maryland(11/28/2017)
RR
Massachusetts(11/28/2017)
RR
Michigan(11/17/2015)
RR
Minnesota(9/30/2011)
RR
Mississippi(11/28/2017)
RR
Missouri(10/20/2008)
IAR
Missouri(5/23/2013)
RR
Montana(4/27/2012)
RR
Nebraska(11/14/2017)
RR
Nevada(11/14/2017)
RR
New Hampshire(11/14/2017)
RR
New Jersey(11/28/2017)
RR
New Mexico(11/14/2017)
RR
New York(11/28/2017)
RR
North Carolina(11/14/2017)
RR
North Dakota(11/14/2017)
RR
Ohio(11/28/2017)
IAR
Ohio(1/7/2020)
RR
Oklahoma(11/28/2017)
RR
Oregon(11/14/2017)
RR
Pennsylvania(11/28/2017)
RR
Puerto Rico(11/28/2017)
RR
Rhode Island(11/14/2017)
RR
South Carolina(11/28/2017)
RR
South Dakota(11/14/2017)
RR
Texas(5/21/2013)
RR
Utah(4/27/2012)
RR
Vermont(11/14/2017)
RR
Virginia(11/28/2017)
RR
Washington(4/27/2012)
RR
West Virginia(11/28/2017)
RR
Wisconsin(11/28/2017)
RR
Wyoming(11/14/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LOCKTON INVESTMENT ADVISORS, LLC
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
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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
24
SEC notice filing (41 States and Territories)
Documents
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.
