WL
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William Lockwood
44 Years of Experience
Vancouver, WA
1 DisclosureBroker
William Lockwood is a registered investment advisor at Raymond James & Associates, INC., based in Vancouver, WA, with 44 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
500 Broadway St., Suite 355, Vancouver, WA, 98660
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2002Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2021 - Present · 5 yrs 3 mos
Raymond James & Associates, INC.Broker
March 2021 - Present · 5 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
March 2007 - April 2021 · 14 yrs 1 mo
Wells Fargo Clearing Services, LLC
March 2007 - April 2021 · 14 yrs 1 mo
UBS Financial Services INC.Broker
August 2006 - March 2007 · 7 mos
UBS Financial Services INC.
August 2006 - March 2007 · 7 mos
Piper Jaffray & CO.
October 2002 - August 2006 · 3 yrs 10 mos
Piper Jaffray & CO.Broker
March 1993 - August 2006 · 13 yrs 5 mos
Everen Securities, INC.Broker
September 1990 - March 1993 · 2 yrs 6 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
February 1988 - September 1990 · 2 yrs 7 mos
Shearson Lehman Hutton INC.Broker
February 1988 - May 1988 · 3 mos
E. F. Hutton & Company INCBroker
February 1982 - February 1988 · 6 yrs
State Registrations12 states
AKAZCAFLIDILNCNVORTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.