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ROBERT NELSON ANDREW JR
CRD#: 1874460
IA
B
LOCKTON INVESTMENT ADVISORS, LLCCRD#: 144133 8110 E UNION AVENUE SUITE 700
DENVER, CO 80237
DENVER, CO 80237
LOCKTON INVESTMENT SECURITIES, LLCCRD#: 137476 8110 E UNION
SUITE 100
DENVER, CO 80237
SUITE 100
DENVER, CO 80237
0
Disclosures
28
Years of Experience
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State Registrations
B
Arizona 9/16/2014
B
Missouri 8/9/2011
B
Colorado 8/9/2011
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Missouri 1/1/2012
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Colorado 1/1/2012
B
Virginia 3/28/2016
B
Delaware 10/14/2024
B
Washington 12/11/2018
SRO Registrations
B
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Registered with this firm since 1/1/2012
B
Registered with this firm since 8/9/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/01/2010 - 08/12/2011 | DENVER, CO | |
B | 10/21/2002 - 12/20/2002 | GREENWOOD VILLAGE, CO | |
B | 01/03/1997 - 10/21/2002 | GREENWOOD VILLAGE, CO | |
B | 12/05/1988 - 01/03/1997 | ENGLEWOOD, CO |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.