Douglas Lockwood
Douglas Lockwood is a CFP-designated registered investment advisor at LPL Financial LLC, based in Naples, FL, with 31 years of industry experience. Douglas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
Naples, FL
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2017Other Business Activities
Douglas is the sole owner of Lockwood Financial Group for tax/investment purposes, dedicating nearly full-time hours. He is also involved with Harbor Lights Financial Group, Inc., Harbor Lights Property Management LLC, Freedom Financial Partners, LLC, and Harbor Lights Private Wealth.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Harbor Lights Financial Group,inc
Royal Alliance Associates, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations17 states
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
More Advisors
- Nicholas Petralia, CFPLPL Financial LLC
- Timothy Evanson, CFPLPL Financial LLC
- Daniel MartinLPL Financial LLC
- Dennis ScharfLPL Financial LLC
- David CarsonLPL Financial LLC
- Barbara HorvathLPL Financial LLC