Albert J. Locy

AL LOCY FINANCIAL SERVICES

Lodi, CA 95242

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CRD#: 1421454

Professional summary

Albert James Locy is a registered financial advisor currently at AL LOCY FINANCIAL SERVICES LLC located in Lodi, California.

Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Albert has worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert James Locy's 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®

None

Experience

Current

June 8, 2022 - Present

AL LOCY FINANCIAL SERVICES LLC

Office #1: 1300 W Lodi Ave Suite A-10, Lodi, CA 95242

RIA

CRD#: 135869

Lodi, CA

Past

March 15, 2002 - October 1, 2002

HARDING/HALL, INC.

CRD#: 12959

ELK GROVE, CA

Past

November 26, 2001 - March 27, 2002

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

November 20, 1985 - December 31, 2001

HARDING/HALL, INC.

CRD#: 12959

ELK GROVE, CA

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

Texas
(6/8/2022)

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

Series 63

Date: 10/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/21/1988

General Securities Principal Examination

Current Firm

AL LOCY FINANCIAL SERVICES LLC

AL LOCY FINANCIAL SERVICES | LOCY, ALBERT JAMES | AL LOCY FINANCIAL SERVICES, LLC | AL LOCY FINANCIAL SERVICES LLC

CRD#: 135869 / SEC#:

California

Registered Investment Advisory firm - (12/26/2024 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2021 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (1/8/2025 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).

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Contact information

Main Address

1300 W Lodi Ave Suite A-10, Lodi, CA 95242

Mailing Address

Phone number

(209) 334-3999

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	215
AUM (Assets Under Management)	$ 21,488,433

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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Albert J. Locy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert James Locy's CRS (Customer Relationship Summary).

Certified licenses

Experience

AL LOCY FINANCIAL SERVICES LLC

HARDING/HALL, INC.

CENTAURUS FINANCIAL, INC.

HARDING/HALL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/13/1986

Series 7

Date: 11/16/1985

Series 24

Date: 10/21/1988

Current Firm

AL LOCY FINANCIAL SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AL LOCY FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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