Casey S. Lockard
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.
Casey Samuel Lockard, CFP®, CPWA®, who also goes by Casey S Lockard, Casey Lockard, Casey Samuel Samuel Lockard, was a registered financial advisor .
Casey is a previously registered financial advisor and started their career in finance in 1990. Casey had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Start date: 2019-04-10
Expire date: 2023-03-31
Experience
February 17, 2011 - April 1, 2014
NORTHERN TRUST SECURITIES, INC.
October 21, 2005 - January 12, 2011
CHARLES SCHWAB & CO., INC.
October 20, 2005 - January 12, 2011
CHARLES SCHWAB & CO., INC.
September 27, 2004 - October 19, 2005
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 25, 2002 - September 27, 2004
ORBITEX FUNDS DISTRIBUTOR, INC.
June 13, 2002 - November 22, 2002
FUNDS DISTRIBUTOR, LLC
November 29, 1999 - April 24, 2001
CHARLES SCHWAB & CO., INC.
July 9, 1998 - February 19, 1999
FBR INVESTMENT SERVICES, INC.
June 7, 1998 - July 10, 1998
B. RILEY SECURITIES, INC.
September 11, 1997 - November 26, 1997
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 26, 1991 - June 24, 1997
MORGAN STANLEY DW INC.
October 22, 1990 - June 24, 1991
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
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
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| ELLIS, KATHERINE THERESE | DIRECTOR | 2519959 |
| GOFORTH, STEPHANIE ECKERT | DIRECTOR | 4348777 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
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.
