Wayne E. Lockwood

ZACKS INVESTMENT MANAGEMENT

CHICAGO, IL 60606

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CRD#: 2385472

Professional summary

Wayne Edward Lockwood is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Wayne has worked at 10 firms and has passed the Series 65, Series 63, 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.

LICENSED INSURANCE AGENT IN WA AND CA. NO LONGER ACTIVELY SOLICITING INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Edward Lockwood'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®

None

Experience

Current

October 16, 2006 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

Office #1: 101 N. Wacker Drive Suite 1500, Chicago, IL 60606

RIA

CRD#: 110897

CHICAGO, IL

Current

December 19, 2006 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

May 11, 2006 - November 2, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SEATTLE, WA

Past

April 20, 2006 - November 2, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SEATTLE, WA

Past

January 4, 2006 - March 20, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

TACOMA, WA

Past

October 3, 2005 - March 20, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 1, 2005 - August 29, 2005

MERRIMAN, LLC

RIA

CRD#: 105717

SEATTLE, WA

Past

June 11, 2001 - June 2, 2005

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FEDERAL WAY, WA

Past

February 22, 2001 - June 2, 2005

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

October 25, 2000 - March 30, 2001

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

October 28, 1997 - October 13, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 2, 1996 - October 29, 1997

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

May 24, 1996 - October 10, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 10, 1993 - April 7, 1995

AMERICAN INTERSTATE FINANCIAL CORPORATION

CRD#: 10552

PORTLAND, OR

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Hawaii
(9/17/2008)

IAR

Washington
(10/16/2006)

Washington
(12/19/2006)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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

Wayne E. Lockwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Edward Lockwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MERRIMAN, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

WOODBURY FINANCIAL SERVICES, INC.

AMERICAN INTERSTATE FINANCIAL CORPORATION

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/1997

Series 63

Date: 8/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1996

Series 6

Date: 12/9/1993

Series 24

Date: 3/27/1997

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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