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SL

Sean T. Lyons

LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
Some features on this profile are disabled
CRD#: 5424497
SL

Professional summary

Sean Thomas Lyons is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2007. Sean has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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, 3601 SW 160TH AVE., SUITE 200, MIRAMAR, FLORIDA 33027. LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. APPROXIMATELY 98% OF MY TIME I PROVIDE GENERAL INSURANCE BROKERAGE SERVICES (HEALTH INSURANCE, GROUP LIFE INSURANCE, ETC.) TO CLIENTS. LOCKTON INVESTMENT ADVISORS, LLC; 3601 SW 160TH AVE., SUITE 200, MIRAMAR, FLORIDA 33027. APPROXIMATELY 1% OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC. Seahorse Training, Inc; 6221 Appaloosa Trail, FL; Horse and Pony training and sales; 2 hours per month.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Thomas Lyons'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

June 20, 2008 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112
BD
CRD#: 137476
Kansas City, MO
Past

November 18, 2016 - November 28, 2022

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
Boca, FL
Past

October 29, 2007 - July 2, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
MIRAMAR, FL

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
(6/24/2008)
RR
California
(6/20/2008)
RR
Florida
(6/20/2008)
RR
Illinois
(6/24/2008)
RR
Missouri
(1/6/2009)
RR
North Carolina
(6/20/2008)
RR
Texas
(6/24/2008)
RR
Washington
(3/21/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/6/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/2008
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: 10/28/2007
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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