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FIRM PROFILE
Overview
LOCKTON INVESTMENT SECURITIES, LLC is located at 444 W. 47th Street Suite 900, Kansas City, MO 64112 and was first established at Kansas City, Missouri in 05/01/2016. After operating for 10 years, LOCKTON INVESTMENT SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of LOCKTON INVESTMENT SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. LOCKTON INVESTMENT SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at LOCKTON INVESTMENT SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access LOCKTON INVESTMENT SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at LOCKTON INVESTMENT SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for LOCKTON INVESTMENT SECURITIES, LLC Comes From
Understanding the Statistics for LOCKTON INVESTMENT SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
444 W. 47th Street Suite 900, Kansas City, MO 64112
444 W. 47th Street Suite 900, Kansas City, MO 64112
Small
(816) 960-9000
Missouri since 05/01/2016
Limited Liability Company
April
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at LOCKTON INVESTMENT SECURITIES, LLC
Deirdre Marian Patten
Registered Affiliation(s):CHAFFE SECURITIES, INC.
Susan Hayes
Registered Affiliation(s):MATTHEWS SOUTH, LLC
Jason Bezanson Maples
Registered Affiliation(s):LOCKTON INVESTMENT ADVISORS, LLC
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