David E. Locklear
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.
David Ernest Locklear was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2003 - February 23, 2004
LEONARD & COMPANY
January 1, 1999 - March 14, 2003
OPPENHEIMER & CO. INC.
March 3, 1995 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
September 7, 1993 - January 18, 1995
UBS FINANCIAL SERVICES INC.
October 19, 1988 - September 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEONARD & COMPANY
CRD#: 36527 / SEC#: 801-60035, 8-47298
Contact information
Disclosures
| Regulatory Event | 13 |
| Arbitration | 2 |
Red Flags
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