Denzil A. Locke

LOCKE FINANCIAL SERVICES

Palatine, IL 60067

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CRD#: 1660024

Professional summary

Denzil Alan Locke is a registered financial advisor currently at LOCKE FINANCIAL SERVICES, INC. located in Palatine, Illinois.

Denzil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Denzil has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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 Denzil Alan Locke'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

May 17, 2016 - Present

LOCKE FINANCIAL SERVICES, INC.

Office #1: 630 N North Court, Suite 108, Palatine, IL, 60067

RIA

CRD#: 117611

Palatine, IL

Past

July 27, 2015 - May 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LAKE ZURICH, IL

Past

July 20, 2015 - May 13, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LAKE ZURICH, IL

Past

January 17, 2006 - March 1, 2007

WOLF FINANCIAL MANAGEMENT, LLC

CRD#: 44225

PALATINE, IL

Past

January 27, 1999 - December 15, 2015

LOCKE FINANCIAL SERVICES, INC.

RIA

CRD#: 117611

PALATINE, IL

Past

July 21, 1993 - December 31, 2005

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

March 9, 1993 - July 20, 1993

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

Illinois
(5/17/2016)

IAR

Iowa
(5/20/2016)

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: 12/1/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/3/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/5/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LOCKE FINANCIAL SERVICES, INC.

CRD#: 117611 / SEC#: 801-67590

RIA

Registered Investment Advisory firm - (8/20/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/19/2017 Terminated)

Illinois

Registered Investment Advisory firm - (6/19/2012 Approved)

Iowa

Registered Investment Advisory firm - (6/21/2012 Approved)

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

630 N North Court Suite 108, Palatine, IL 60067

Mailing Address

Phone number

(847) 991-2705

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 55,000,000

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

Denzil A. Locke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denzil Alan Locke's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WOLF FINANCIAL MANAGEMENT, LLC

LOCKE FINANCIAL SERVICES, INC.

WATERSTONE FINANCIAL GROUP, INC.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/2015

Series 65

Date: 12/3/1997

SIE

Date: 5/13/2016

Series 7

Date: 7/27/2015

Series 6

Date: 3/5/1993

Current Firm

LOCKE FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LOCKE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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