Douglas E. Lockwood

CX INSTITUTIONAL

Auburn, IN 46706

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CRD#: 1703831

Professional summary

Douglas Edward Lockwood MR, CFP®, who also goes by Doug Lockwood, Douglas E Lockwood, Douglas Edward Lockwood, is a registered financial advisor currently at CX INSTITUTIONAL, LLC located in Auburn, Indiana.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Douglas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Lockwood | Douglas E Lockwood | Douglas Edward Lockwood

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.

12/5/2018 - Vespro - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 10/01/2018 - 1 Hour Per Month During Securities Trading - Vestpro is an owner of CX institutional LLC for tax and legal purposes only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Edward Lockwood MR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

March 29, 2018 - Present

CX INSTITUTIONAL, LLC

Office #1: 200 East 7th Street, Auburn, IN 46706

RIA

CRD#: 292627

Auburn, IN

Past

July 26, 2010 - August 15, 2018

HEFTY WEALTH PARTNERS

RIA

CRD#: 153880

AUBURN, IN

Past

October 21, 2005 - July 16, 2020

LPL FINANCIAL LLC

CRD#: 6413

AUBURN, IN

Past

October 3, 2005 - September 17, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUBURN, IN

Past

December 21, 2002 - December 31, 2002

AMI INVESTMENT MANAGEMENT INC

RIA

CRD#: 106321

KENDALLVILLE, IN

Past

January 1, 2001 - November 30, 2005

AMI INVESTMENT MANAGEMENT INC

RIA

CRD#: 106321

KENDALLVILLE, IN

Past

May 1, 1989 - September 1, 1989

RAFFENSPERGER, HUGHES & CO., INC.

CRD#: 699

Past

October 27, 1988 - June 3, 1989

MML INVESTORS SERVICES, LLC

CRD#: 10409

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

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

Indiana
(3/29/2018)

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

IAR

Series 66

Date: 10/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CX INSTITUTIONAL, LLC

CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

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Contact information

Main Address

200 East 7th Street, Auburn, IN 46706

Mailing Address

Phone number

(260) 927-1830

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/14/2025)

ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts	14,284
AUM (Assets Under Management)	$ 4,121,239,331

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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Firm Stability Insights

Douglas E. Lockwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Edward Lockwood MR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEFTY WEALTH PARTNERS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMI INVESTMENT MANAGEMENT INC

AMI INVESTMENT MANAGEMENT INC

RAFFENSPERGER, HUGHES & CO., INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

CX INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2005

Series 63

Date: 10/26/1988

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2005

Series 6

Date: 10/26/1988

Current Firm

CX INSTITUTIONAL, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CX INSTITUTIONAL, LLC

TRUST BUT VERIFY

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