Stephen J. Locke

FIRST ADVISORS NATIONAL

Stephens City, VA 22655

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CRD#: 1122385

Professional summary

Stephen Joseph Locke, CFP®, who also goes by Steve Joseph Locke, is a registered financial advisor currently at FIRST ADVISORS NATIONAL, LLC located in Stephens City, Virginia.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Joseph Locke

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LICENSED INSURANCE AGENT, SELLS LIFE INSURANCE AND FIXED ANNUITY PRODUCTS. 10 HRS PER MONTH; 8 HRS DURING MARKET HRS. LEGALSHIELD CONSULTANT. MARKETS PREPAID LEGAL PLANS AND IDENTITY THEFT SOLUTIONS. 2 HRS DEVOTED PER MONTH; 0 HRS DURING MARKET HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Locke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

April 2, 2014 - Present

FIRST ADVISORS NATIONAL, LLC

Office #1: 640-111 Warrior Dr, Stephens City, VA 22655

RIA

CRD#: 166212

Stephens City, VA

Past

November 30, 2012 - April 1, 2014

ALPHASTAR CAPITAL MANAGEMENT

RIA

CRD#: 157423

CROSS JUNCTION, VA

Past

January 3, 2007 - November 30, 2012

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

CROSS JUNCTION, VA

Past

July 14, 2005 - December 20, 2006

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

WINCHESTER, VA

Past

July 14, 2005 - December 20, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

WINCHESTER, VA

Past

November 9, 2004 - March 14, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WINCHESTER, VA

Past

November 9, 2004 - March 14, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

November 20, 2002 - December 1, 2004

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 9, 2002 - October 18, 2002

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

Past

August 6, 1999 - July 30, 2002

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SALEM, VA

Past

January 14, 1986 - July 30, 2002

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

June 30, 1983 - April 30, 1984

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(4/2/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/25/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/24/1997

General Securities Principal Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Locke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Locke's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHASTAR CAPITAL MANAGEMENT

FORTUNE FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

AMERITAS INVESTMENT COMPANY, LLC

INTERVEST INTERNATIONAL EQUITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/1998

Series 63

Date: 6/27/1983

Series 7

Date: 1/20/1997

Series 6

Date: 6/25/1983

Series 24

Date: 2/24/1997

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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