Lauren Locker
LOCKER FINANCIAL SERVICES
Verona, NJ 07044
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CRD#: 2122142
Professional summary
Lauren Locker, CFP® is a registered financial advisor currently at LOCKER FINANCIAL SERVICES, LLC located in Verona, New Jersey.
Lauren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Lauren has worked at 2 firms and has passed the Series 6 exam.
Biography
@import url(http://www.napfa.org/CuteEditor_Files/Style/SyntaxHighlighter.css);Lauren has been a hospice volunteer and is a member of her town's Civilian Emergency Response Team (CERT).
Question & Answer
What are your service offerings?
Estate Planning
Retirement Planning
Social Security Planning
Comprehensive Financial Planni...
Investment Planning
Elder Care
Do you have an area of expertise or specialization?
Investment Advice with Ongoing...
Middle Income Client Needs
Retirement Planning & Distribu...
Women's Financial Planning Iss...
What is your minimum asset requirement?
1
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.
CRS (Client Relationship Summary) - RIA
Click below to view Lauren Locker'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®
CFP®
Start date: 1994
Experience
Current
June 13, 2002 - Present
LOCKER FINANCIAL SERVICES, LLC
Office #1: 3 Claridge Drive Suite 2, Verona, NJ 07044RIA
CRD#: 120900
Verona, NJ
Past
March 24, 1993 - February 17, 1995
OSAIC FS, INC.
BD
CRD#: 3870
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".
LOCKER FINANCIAL SERVICES, LLC
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
CRD#: 120900 / SEC#: 801-118288
RIA
Registered Investment Advisory firm - (3/23/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/15/2020 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2020 Terminated)New York
Registered Investment Advisory firm - (6/15/2020 Terminated)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
Massachusetts(12/22/2016)
IAR
New Jersey(6/13/2002)
Exams
General Industry/Product Exam
Current Firm
LOCKER FINANCIAL SERVICES, LLC
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
CRD#: 120900 / SEC#: 801-118288
RIA
Registered Investment Advisory firm - (3/23/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/15/2020 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2020 Terminated)New York
Registered Investment Advisory firm - (6/15/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3 Claridge Drive Suite 2, Verona, NJ 07044
Mailing Address
Phone number
(973) 256-2555
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 364 |
| AUM (Assets Under Management) | $ 181,742,277 |
Red Flags
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