Wayne Lockwood is a CFP-designated registered investment advisor, based in Chicago, IL, with 30 years of industry experience.
Location
101 N. Wacker Drive, Suite 1500, Chicago, IL, 60606
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Wayne is a licensed insurance agent in Washington and California, but is no longer actively soliciting insurance sales.
Employment History
Current Registrations
Lbmz Securities, INC.Broker
December 2006 - Present · 19 yrs 7 mos
Lbmz Securities, INC.
December 2006 - Present · 19 yrs 7 mos
Zacks Investment Management, INC.
October 2006 - Present · 19 yrs 9 mos
Previous Registrations
MML Investors Services, INC.
May 2006 - November 2006 · 6 mos
MML Investors Services, INC.Broker
April 2006 - November 2006 · 7 mos
Financial Network Investment Corporation
January 2006 - March 2006 · 2 mos
Financial Network Investment CorporationBroker
October 2005 - March 2006 · 5 mos
Merriman Capital Management INC
June 2005 - August 2005 · 2 mos
Financial Network Investment Corporation
June 2001 - June 2005 · 4 yrs
Financial Network Investment CorporationBroker
February 2001 - June 2005 · 4 yrs 4 mos
Commonwealth Financial NetworkBroker
October 2000 - March 2001 · 5 mos
Raymond James Financial Services, INC.Broker
October 1997 - October 2000 · 3 yrs
Robert Thomas Securities, INCBroker
October 1996 - October 1997 · 1 yr
Fortis Investors, INC.Broker
May 1996 - October 1996 · 5 mos
American Interstate Financial CorporationBroker
December 1993 - April 1995 · 1 yr 4 mos
State Registrations2 states
HIWA
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.