Robert L. Lockwood
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.
Robert Larry Lockwood, who also goes by Bob Lockwood, Robert L Lockwood, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1991. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2005 - April 20, 2006
THE ROBINS GROUP LLC
October 20, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 12, 2003 - October 20, 2004
QUICK & REILLY, INC.
June 12, 2003 - October 20, 2004
QUICK & REILLY, INC.
November 23, 1994 - September 24, 2002
STRATEGIC ADVISERS LLC
April 22, 1993 - September 12, 2002
FIDELITY BROKERAGE SERVICES LLC
January 22, 1991 - April 15, 1993
UBS FINANCIAL SERVICES INC.
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
Series 8
Date: 6/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE ROBINS GROUP LLC
CRD#: 41894 / SEC#: , 8-49617
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
