Jay C. Middleton

LOKKEN INVESTMENT GROUP

Lewes, DE 19958

Some features on this profile are disabled

CRD#: 729104

Professional summary

Jay Colin Middleton is a registered financial advisor currently at LOKKEN INVESTMENT GROUP, LLC located in Lewes, Delaware and DAKOTA WEALTH, LLC located in Lewes, Delaware.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Jay has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 22 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.

1) On a temporary and transitional basis, Mr. Middleton will be dually registered as an investment advisor representative with Dakota Wealth, LLC and Lokken Investment Group, LLC. Dakota Wealth, LLC and Lokken Investment Group, LLC are not affiliated entities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Colin Middleton'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 8, 2020 - Present

LOKKEN INVESTMENT GROUP, LLC

Office #1: 1413 Savannah Road, Suite 4, Lewes, DE 19958

RIA

CRD#: 283696

Lewes, DE

Current

November 3, 2025 - Present

DAKOTA WEALTH, LLC

Office #1: 1413 Savannah Rd Ste4, Lewes, DE 19958

RIA

CRD#: 297987

LEWES, DE

Past

January 16, 2018 - July 8, 2020

OCEAN VIEW ADVISORY

RIA

CRD#: 291479

DAGSBORO, DE

Past

October 30, 1996 - February 2, 2018

1 NORTH WEALTH SERVICES, LLC

RIA

CRD#: 115948

ANNAPOLIS, MD

Past

September 23, 1988 - December 31, 1999

WELLS COMPANY, INC.

CRD#: 10178

SEVERNA PARK, MD

Past

May 9, 1985 - September 23, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 18, 1983 - May 15, 1985

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

Past

March 26, 1982 - July 18, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 22, 1981 - April 5, 1982

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

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".

DAKOTA WEALTH, LLC

DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA

Registered Investment Advisory firm - (10/8/2018 Approved)

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

Delaware
(7/8/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/20/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DAKOTA WEALTH, LLC

DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA

Registered Investment Advisory firm - (10/8/2018 Approved)

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

11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752

Mailing Address

Phone number

(561) 774-8101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAKOTA WEALTH FORM ADV PART 2A (10/15/2025)

Regulatory assets under management

Total Number of Accounts	9,786
AUM (Assets Under Management)	$ 6,335,261,507

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/10/2025	Cover Page	Report
09/13/2024	Cover Page	Report
11/21/2023	Cover Page	Report
01/18/2023	Cover Page	Report

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

Benjamin Stephenson

EQUITABLE ADVISORS, LLC

IAR

New York, NY

Richard Stumpf

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Wichita, KS

Richard Ryan

WELLS FARGO CLEARING SERVICES, LLC

ST. LOUIS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jay C. Middleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Colin Middleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAKOTA WEALTH, LLC

OCEAN VIEW ADVISORY

1 NORTH WEALTH SERVICES, LLC

WELLS COMPANY, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

FSC SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

DAKOTA WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/1996

Series 63

Date: 7/11/1983

Series 7

Date: 1/15/1983

Series 22

Date: 5/20/1982

Series 6

Date: 4/20/1981

Current Firm

DAKOTA WEALTH, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAKOTA WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors