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Investment Adviser Firm Summary

LOCKTON INVESTMENT ADVISORS, LLC (CRD# 144133 / SEC# 801-68005)
Alternate Names: LOCKTON INVESTMENT ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/18/2007
Michigan Terminated 07/29/2013

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 06/16/2016
California 06/18/2007
Colorado 06/18/2007
District of Columbia 06/18/2007
Florida 07/30/2009
Georgia 01/02/2008
Illinois 02/22/2008
Indiana 07/25/2013
Kansas 07/25/2013
Kentucky 06/16/2016
Louisiana 06/16/2016
Maryland 12/02/2009
Massachusetts 07/25/2013
Michigan 07/25/2013
Minnesota 06/29/2015
Missouri 06/18/2007
Nebraska 12/14/2016
New Jersey 06/24/2016
New York 01/29/2009
North Carolina 07/25/2013
Ohio 07/25/2013
Oklahoma 07/25/2013
Pennsylvania 07/25/2013
South Carolina 06/29/2015
Tennessee 06/29/2015
Texas 06/18/2007
Utah 12/14/2016
Virginia 07/29/2009
Washington 07/25/2013
Wisconsin 06/16/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser