Lisa L. Lockerman

LOCKERMAN FINANCIAL GROUP,

Newport Beach, CA 92660

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CRD#: 2209271

Professional summary

Lisa Lynn Lockerman, ChFC® is a registered financial advisor currently at LOCKERMAN FINANCIAL GROUP, INC located in Newport Beach, California.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Lisa has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

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.

1) INDEPENDENT INSURANCE AGENT, 4695 MACARTHUR CT, STE 490, NEWPORT BEACH, CA, 6/1991 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR - 1/WK - 1/TRADING. 2) LOCKERMAN FINANCIAL & INSURANCE SOLUTIONS INC dba LOCKERMAN FINANCIAL GROUP, 4695 MACARTHUR CT, STE 490, NEWPORT BEACH, CA, 1/2008 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 4/WK - 1/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Lynn Lockerman'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

November 8, 2021 - Present

LOCKERMAN FINANCIAL GROUP, INC

Office #1: 4695 Macarthur Court Suite 490, Newport Beach, CA 92660

RIA

CRD#: 316860

Newport Beach, CA

Past

February 8, 2012 - January 23, 2013

NEWPORT WEALTH STRATEGIES, INC.

RIA

CRD#: 159376

IRVINE, CA

Past

January 28, 2008 - November 23, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

NEWPORT BEACH, CA

Past

January 28, 2008 - November 23, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NEWPORT BEACH, CA

Past

October 19, 1998 - January 29, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

IRVINE, CA

Past

July 6, 1992 - May 19, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

July 6, 1992 - January 29, 2008

OSAIC FA, INC.

CRD#: 3978

IRVINE, CA

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".

LOCKERMAN FINANCIAL GROUP, INC

CRD#: 316860 / SEC#: 801-122651

RIA

Registered Investment Advisory firm - (11/8/2021 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

California
(11/8/2021)

IAR

Texas
(11/8/2021)

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 65

Date: 8/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/2008

General Securities Principal Examination

Current Firm

LOCKERMAN FINANCIAL GROUP, INC

CRD#: 316860 / SEC#: 801-122651

RIA

Registered Investment Advisory firm - (11/8/2021 Approved)

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Contact information

Main Address

4695 Macarthur Court Suite 490, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 544-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/14/2025)

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 134,775,165

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lisa L. Lockerman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Lynn Lockerman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWPORT WEALTH STRATEGIES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

LOCKERMAN FINANCIAL GROUP, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/1998

Series 63

Date: 8/20/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/22/1998

Series 6

Date: 7/2/1992

Series 24

Date: 7/7/2008

Current Firm

LOCKERMAN FINANCIAL GROUP, INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOCKERMAN FINANCIAL GROUP, INC

TRUST BUT VERIFY

Contact information

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