Robert P. Lindquist

LOCKTON INVESTMENT ADVISORS

Kansas City, MO 64112

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CRD#: 6313853

Professional summary

Robert Paul Lindquist II, who also goes by Robert Paul Lindquist, Robert Lindquist, 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.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Robert has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Paul Lindquist | Robert Lindquist

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. LESS THAN 5% OF MY TIME I PROVIDE 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 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Paul Lindquist II'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 1, 2020 - Present

LOCKTON INVESTMENT ADVISORS, LLC

Office #1: 444 W 47th Street Suite 900, Kansas City, MO 64112

RIA

CRD#: 144133

Kansas City, MO

Current

March 4, 2020 - Present

LOCKTON INVESTMENT SECURITIES, LLC

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

CRD#: 137476

Kansas City, MO

Past

January 15, 2019 - February 19, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Mission Woods, KS

Past

May 19, 2014 - January 2, 2019

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

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".

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.

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

Missouri
(3/4/2020)

IAR

Missouri
(6/1/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/30/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2014

General Securities Representative Examination

SRO Registrations

FINRA

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)

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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

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.

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Firm Stability Insights

Robert P. Lindquist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Paul Lindquist II's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKTON INVESTMENT SECURITIES, LLC

FORESIDE FUND SERVICES, LLC

UMB FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LOCKTON INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2020

Series 63

Date: 11/13/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2014

FINRA

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

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