Gary C. Lockwood
Professional summary
Gary Charles Lockwood is a registered financial professional currently at EMPIRE ASSET MANAGEMENT COMPANY located in Holmdel, New Jersey.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1987. Gary has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary Charles Lockwood's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 27, 2012 - Present
EMPIRE ASSET MANAGEMENT COMPANY
Office #1: 101 Crawfords Corner Road, Holmdel, NJ 07733Office #2: 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151December 2, 2008 - September 26, 2012
SECUREVEST FINANCIAL GROUP
February 10, 2003 - November 3, 2008
J. B. HANAUER & CO.
October 17, 1991 - September 19, 2002
ROBERT W. BAIRD & CO. INCORPORATED
May 18, 1991 - September 6, 1991
GMS GROUP
April 4, 1990 - April 16, 1991
CHASE SECURITIES, INC.
March 24, 1987 - February 13, 1990
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2012)
(1/6/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/25/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
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