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Reginald Lockett

LPL Financial LLC
5 Years of Experience
Mequon, WI
1 DisclosureBroker
View SEC Summary
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Reginald Lockett is a registered investment advisor at LPL Financial LLC, based in Mequon, WI, with 5 years of industry experience. Reginald 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Mequon, WI

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
September 2023
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
June 2024 - Present · 2 yrs 4 mos
LPL Financial LLCBroker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Osaic Wealth, INC.
August 2023 - April 2024 · 8 mos
Securities America, INC.Broker
April 2022 - April 2024 · 2 yrs
Osaic Wealth, INC.Broker
April 2022 - April 2024 · 2 yrs
Triad Advisors LLCBroker
April 2022 - April 2024 · 2 yrs
Woodbury Financial Services, INC.Broker
April 2022 - January 2024 · 1 yr 9 mos
Fsc Securities CorporationBroker
April 2022 - November 2023 · 1 yr 7 mos
Osaic Services, INC.Broker
September 2021 - April 2024 · 2 yrs 7 mos
Sagepoint Financial, INC.
September 2021 - September 2023 · 2 yrs
Equitable Advisors, LLCBroker
September 2020 - November 2020 · 2 mos
State Registrations2 states
SCWI
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.
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