# EDGAR Filing Document

**Accession Number:** 0001339862
**File Stem:** 0001339862-25-000002
**Filing Date:** 2025-6
**Character Count:** 2545
**Document Hash:** 532dbcc370e2c198b7b0efb6614c9f9a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001339862-25-000002.hdr.sgml**: 20250630

**ACCESSION NUMBER**: 0001339862-25-000002

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250430

**FILED AS OF DATE**: 20250630

**DATE AS OF CHANGE**: 20250630

**EFFECTIVENESS DATE**: 20250630

**PERIOD START**: 20240501

**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:** 251091624

**BUSINESS ADDRESS:**
- **STREET 1:** 444 W. 47TH STREET
- **STREET 2:** SUITE 900
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64112
- **BUSINESS PHONE:** 816-960-9000

**MAIL ADDRESS:**
- **STREET 1:** 444 W. 47TH STREET
- **STREET 2:** SUITE 900
- **CITY:** KANSAS CITY
- **STATE:** MO
- **ZIP:** 64112

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

### Attached PDF Documents

**Attachment 1:** `locktonaudit043025public.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:** 05-01-2024

**Report Period End Date:** 04-30-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

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

**Business Address:** 444 W. 47TH STREET, SUITE 900, KANSAS CITY, MO, 64112

**Contact Person:** Susan Hayes

**Contact Phone:** 609-642-6593

### Independent Public Accountant Identification

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

**Accountant Address:** 205 N. Michigan Avenue, 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 **04-30-2025**, are true and correct.

**Signature:** Suzette Clark

**Title:** President

**Notarized:** Yes