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7045 College Blvd 5Th Floor, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2020-07-23 |
Branch Locations
5500 Wayzata Blvd Suite 510, Mineapolis, MN 55416 • United States
7045 College Blvd 5Th Floor, Overland Park, KS 66211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rockwell Consulting Llc | Edina | MN | 07/2016 | 01/2019 |
| Associated Bank | Minnetonka | MN | 01/2019 | 07/2020 |
| Lpl Financial Llc | Minnetonka | MN | 02/2019 | 07/2020 |
| Lockton Investment Securities, Llc- Field | Minneapolis | MN | 07/2020 | Present |
| Lockton Companies Llc | Minneapolis | MN | 07/2020 | Present |
| Lockton Investment Advisors | Minneapolis | MN | 07/2020 | Present |
LOCKTON COMPANIES, LLC; 5500 Wayzata Blvd Suite 510 Minneapolis, MN 55416; 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; 5500 Wayzata Blvd Suite 510 Minneapolis, MN 55416; APPROXIMATELY 85 % OF MY TIME I PROVIDE INVESTMENT ADVISORY SERVICES THROUGH LOCTON INVESTMENT ADVISORS, LLC. Author; 117 Oak Street N, Chaska, MN, 55318; 0 hours during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-05-07 |
| S65 | Uniform Investment Adviser Law Examination | 2019-04-30 |
| S66 | Uniform Combined State Law Examination | 2004-12-01 |
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