Richard L. Lockwood
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Leroy Lockwood was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 1988 - September 13, 1989
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 24, 1987 - February 13, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 2, 1987 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTERVEST INTERNATIONAL EQUITIES CORPORATION
CRD#: 20289 / SEC#: , 8-38156
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
