Lockton Investment Securities LLC

06/30/2026 | Press release | Distributed by Public on 06/30/2026 13:02

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0001339862
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
05-01-2025
and Ending
04-30-2026
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
LOCKTON INVESTMENT SECURITIES, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
7045 COLLEGE BLVD
Address 2
5TH FLOOR
City
OVERLAND PARK
State/Country
KANSAS
Mailing Zip/ Portal Code
66211

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Susan Hayes
Telephone Number
201-401-0975

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Baker Tilly US, LLP
Address 1
205 N. Michigan Avenue, 28th Floor
City
Chicago
State/Country
ILLINOIS
Mailing Zip/ Postal Code
60601
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Suzette Clark, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of LOCKTON INVESTMENT SECURITIES, LLC, as of 04-30-2026, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Suzette Clark
Title
President

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.
Lockton Investment Securities LLC published this content on June 30, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on June 30, 2026 at 19:02 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]