Jeffrey L. Lockhart
Professional summary
Jeffrey Lynn Lockhart, who also goes by Jeff Lockhart, is a registered financial professional currently at CAPITAL INVESTMENT GROUP, INC. located in Wilson, North Carolina.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1993. Jeffrey has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Lynn Lockhart's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2006 - Present
CAPITAL INVESTMENT GROUP, INC.
May 3, 1999 - August 17, 2006
PARK AVENUE SECURITIES LLC
October 21, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
June 2, 1994 - August 27, 1997
GUARDIAN INVESTOR SERVICES LLC
August 17, 1993 - April 14, 1994
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/16/2006)
(8/16/2006)
Exams
FINRA
Current Firm
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
