Daniel P. Foley

LOCKTON INVESTMENT ADVISORS

Philadelphia, PA 19103

Some features on this profile are disabled

CRD#: 5508695

Professional summary

Daniel Patrick Foley, who also goes by Daniel P Foley, is a registered financial advisor currently at LOCKTON INVESTMENT ADVISORS, LLC located in Philadelphia, Pennsylvania.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Daniel has worked at 4 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel P Foley

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; 1600 Market Street, Suite 3400, Philadelphia, PA 19103; 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Patrick Foley'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 1, 2021 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 1600 Market Street, Suite 3400, Philadelphia, PA 19103

RIA

CRD#: 144133

Philadelphia, PA

Past

July 1, 2014 - June 1, 2021

INNOVATIVE INVESTMENT FIDUCIARIES, LLC

RIA

CRD#: 159814

MOORESTOWN, NJ

Past

August 6, 2008 - March 5, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MT LAUREL, NJ

Past

July 10, 2008 - March 5, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MT LAUREL, NJ

Past

April 30, 2008 - June 18, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MARLTON, NJ

Past

April 7, 2008 - June 18, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MARLTON, NJ

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(7/1/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/28/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/4/2008

General Securities Representative Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel P. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Patrick Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATIVE INVESTMENT FIDUCIARIES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2014

Series 66

Date: 4/28/2008

Series 7

Date: 4/4/2008

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

Similar Advisors