Matthew Joseph Filing

Current Employers

Lockton Investment Advisors, Llc

7045 College Blvd 5Th Floor, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2017-03-03
MO	RA	APPROVED	2014-01-30

KS RA
APPROVED

Since 2017-03-03
MO RA
APPROVED

Since 2014-01-30

Branch Locations

7045 College Blvd 5Th Floor, Overland Park, KS 66211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lockton Companies, Llc	Kansas City	MO	01/2013	Present
Lockton Financial Advisors, Llc	Kansas City	MO	08/2013	Present
Lockton Investment Advisors, Llc	Kansas City	MO	12/2013	Present

01/2013 → Present

Lockton Companies, Llc

Kansas City, MO
08/2013 → Present

Lockton Financial Advisors, Llc

Kansas City, MO
12/2013 → Present

Lockton Investment Advisors, Llc

Kansas City, MO

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-01-30
S63	Uniform Securities Agent State Law Examination	2013-12-05

S65 Uniform Investment Adviser Law Examination

2014-01-30
S63 Uniform Securities Agent State Law Examination

2013-12-05