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JL

James C. Lockard

ASTOR RIDGE N.A. LLP
Rumson, NJ 07760
Some features on this profile are disabled
CRD#: 1580517
JL

Professional summary

James Charles Lockard is a registered financial professional currently at ASTOR RIDGE N.A. LLP located in Rumson, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 17, Series 72, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view James Charles Lockard'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

August 24, 2016 - Present

ASTOR RIDGE N.A. LLP

Office #1: 60 Rumson Road, Rumson, NJ 07760Office #2: Dowgate Hill House 14-16 Dowgate Hill, Suite 102, London, EC4R 2SU
BD
CRD#: 282626
Rumson, NJ
Past

May 13, 2008 - August 18, 2010

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

February 6, 2006 - August 28, 2007

MF GLOBAL INC.

BD
CRD#: 6731
LONDON,
Past

February 15, 2001 - January 6, 2004

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

March 27, 1996 - August 4, 1998

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

June 13, 1995 - April 4, 1996

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

November 28, 1994 - March 3, 1995

GLICKENHAUS & CO.

BD
CRD#: 2016
NEW YORK, NY
Past

February 23, 1990 - April 29, 1994

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

March 28, 1988 - February 24, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 18, 1986 - February 10, 1988

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/25/2025)
RR
New York
(9/29/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 3/14/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/14/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 17
Date: 2/3/2006
Limited Registered Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 2/14/2001
Government Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/20/2016
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ASTOR RIDGE N.A. LLP
ASTOR RIDGE N.A. LLP

CRD#: 282626 / SEC#: , 8-69728

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
60 Rumson Road, Rumson, NJ 07760
Mailing Address
60 Rumson Road, Rumson, NJ 07760
Phone number
(212) 729-8387
Established
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASTOR RIDGE LLPGENERAL PARTNER
BRIGHTON, CHRISTOPHER SLIMITED PARTNER / CCO1966750
GRAY, JOHN CLARKECFO / FINOP1367440
LOCKARD, JAMES CHARLESLIMITED PARTNER1580517
WENTZELL, JOHN LAWRENCELIMITED PARTNER2519139

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.

Company Information

ASTOR RIDGE N.A. LLP

CRD#: 282626Rumson, NJ 07760

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