Full text of LOCKTON INVESTMENT SECURITIES, LLC's X-17A-5 filed 2026-06-30 (period 2026-04-30). 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** # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-67090 | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------| | FILING FOR THE PERIOD BEGINNING 05/01 /25 | | AND ENDING 04/30/26 | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF FIRM : Lockton Investment Securities, LLC | | | | | TYPE OF REG ISTRANT (check all applicable boxes):<br>[!] Broker-dealer<br>□ Security-based swap dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 444 West 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 | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this f | | iling* | | | Baker Tilly US, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 205 N. Michigan Avenue, 28th Floor | Chicago | IL | 60601 | | (Address) | (City) | (State) | (Zip Code) | | 10/22/03 | | 23 | | | rte of Registcatioo with PCAOB)lif applica<br>ble) | | | (PCAOB Registratioo Nombec, if applicable) | | | 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 st atement 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 t he collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control n…Read the full text as markdown