# EDGAR Filing Document

**Accession Number:** 0001339862
**File Stem:** 0001339862-26-000003
**Filing Date:** 2026-6
**Character Count:** 2534
**Document Hash:** 406c79b41efaca73c92ddd6a9838f601
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001339862-26-000003.hdr.sgml**: 20260630

**ACCESSION NUMBER**: 0001339862-26-000003

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20260430

**FILED AS OF DATE**: 20260630

**DATE AS OF CHANGE**: 20260630

**EFFECTIVENESS DATE**: 20260630

**PERIOD START**: 20250501

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LOCKTON INVESTMENT SECURITIES, LLC
- **CENTRAL INDEX KEY:** 0001339862

**ORGANIZATION NAME:**
- **EIN:** 203247391
- **STATE OF INCORPORATION:** MO
- **FISCAL YEAR END:** 0430

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-67090
- **FILM NUMBER:** 261140041

**BUSINESS ADDRESS:**
- **STREET 1:** 7045 COLLEGE BLVD
- **STREET 2:** 5TH FLOOR
- **CITY:** OVERLAND PARK
- **STATE:** KS
- **ZIP:** 66211
- **BUSINESS PHONE:** 816-960-9000

**MAIL ADDRESS:**
- **STREET 1:** 7045 COLLEGE BLVD
- **STREET 2:** 5TH FLOOR
- **CITY:** OVERLAND PARK
- **STATE:** KS
- **ZIP:** 66211

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LOCKTON FINANCIAL ADVISORS, LLC
- **DATE OF NAME CHANGE:** 20050926

### Attached PDF Documents

**Attachment 1:** `lis2026auditpublic.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0001339862

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 05-01-2025

**Report Period End Date:** 04-30-2026

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** LOCKTON INVESTMENT SECURITIES, LLC

**Business Address:** 7045 COLLEGE BLVD, 5TH FLOOR, OVERLAND PARK, KS, 66211

**Contact Person:** Susan Hayes

**Contact Phone:** 201-401-0975

### Independent Public Accountant Identification

**Accountant Name:** Baker Tilly US, LLP

**Accountant Address:** 205 N. Michigan Avenue, 28th Floor, Chicago, IL, 60601

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Suzette Clark**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **LOCKTON INVESTMENT SECURITIES, LLC**, as of **04-30-2026**, are true and correct.

**Signature:** Suzette Clark

**Title:** President