Full text of LOCKTON INVESTMENT SECURITIES, LLC's X-17A-5 filed 2024-07-03 (period 2024-04-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill 8-67090 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **05/01 /23** AND ENDING **04/30/24** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Lockton Investment Securities, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 444 W. 47th Street, Suite 900 | | (No. and Street) | | | | |----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|-----------------|---------------------------|--| | Kansas City | MO | | 64112 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Susan Hayes | 609-642-6593 | | shayes@pattentraining.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Moss Adams LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | | | | 14555 Dallas Parkway, Suite 300 | Dallas | TX | 75204 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/16/03 | | 659 | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}------------------------------------------------ # **OATH OR AFFIRMATION** I, Susan Hayes swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Lockian Investment S…Read the full text as markdown