MF
Matthew J. Filing
LOCKTON INVESTMENT ADVISORS
Kansas City, MO 64112
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CRD#: 6243585
MF
Professional summary
Matthew Joseph Filing 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.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Matthew has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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 STREET SUITE 900, KANSAS CITY, MO 64112; LOCKTON COMPANIES, LLC IS AN INSURANCE BROKERAGE FIRM. I SPEND APPROXIMATELY 110-115 HOURS PER MONTH IN GENERAL INSURANCE BROKERAGE SERVICES TO CLIENTS.
LOCKTON INVESTMENT ADVISORS, LLC; 444 W 47TH STREET SUITE 900, KANSAS CITY, MO 64112. APPROXIMATELY 2 HOURS PER MONTH ARE SPENT PROVIDING INVESTMENT ADVISORY SERVICES THROUGH LOCKTON INVESTMENT ADVISORS, LLC.
CGMP, LLC DBA REMAX METROPOLITAN; 300 WESTPORT ROAD, KANSAS CITY, MO 64111; NONINVESTMENT-RELATED REAL ESTATE SALES BUSINESS; I OWN 33% OF THE COMPANY; NO HOURS DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS.
FILING ENTERPRISES, INC; 231 W 61ST STREET, KANSAS CITY, MO 64113; NONINVESTMENT-RELATED REAL ESTATE SALES BUSINESS; I OWN 50% OF THE COMPANY AND SERVE AS VP/SECRETARY; NO HOURS DEVOTED TO THE BUSINESS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Joseph Filing'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®
NoneExperience
Current
January 30, 2014 - Present
LOCKTON INVESTMENT ADVISORS, LLC
Office #1: 444 W 47th Street Suite 900, Kansas City, MO 64112RIA
CRD#: 144133
Kansas City, MO
Current
October 29, 2013 - Present
LOCKTON INVESTMENT SECURITIES, LLC
Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112BD
CRD#: 137476
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
Kansas(2/27/2017)
IAR
Kansas(3/3/2017)
RR
Missouri(12/6/2013)
IAR
Missouri(1/30/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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