Brian M. Lockwood

PITON INVESTMENT MANAGEMENT, LP

Garden City, NY 11530

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CRD#: 2402096

Professional summary

Brian Matthew Lockwood is a registered financial advisor currently at PITON INVESTMENT MANAGEMENT, LP located in Garden City, New York.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 11 firms and has passed the Series 63 and Series 7 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.

Entity: ClearShares, LLC Address: 777 Third Avenue, 22nd Floor, New York, NY 10017 Role: Portfolio Manager for OCIO ETF Responsibilities: Investment decisions for the ETF Investment Related: Yes Nature of Business: Investment Advisor for ETFs Start of Relationship: December 2019 Time Spent: 1-5 hours per week during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Matthew 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

April 18, 2019 - Present

PITON INVESTMENT MANAGEMENT, LP

Office #1: 401 Franklin Avenue Suite 202b, Garden City, NY 11530

RIA

CRD#: 17434

NEW YORK, NY

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".

PITON INVESTMENT MANAGEMENT, LP

CRD#: 282517 / SEC#: 801-107227

RIA

Registered Investment Advisory firm - (1/29/2016 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

New York
(7/7/2021)

IAR

Texas
(4/18/2019)

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

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/20/1993

General Securities Representative Examination

Current Firm

PITON INVESTMENT MANAGEMENT, LP

CRD#: 282517 / SEC#: 801-107227

RIA

Registered Investment Advisory firm - (1/29/2016 Approved)

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Contact information

Main Address

401 Franklin Avenue Suite 202b, Garden City, NY 11530

Mailing Address

Phone number

(646) 518-2800

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

PITON INVESTMENT MANAGEMENT ADV PART 2 (5/6/2025)

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 871,156,559

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.

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Advisor Monitoring

Firm Stability Insights

Brian M. Lockwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Matthew Lockwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

RAMIUS SECURITIES LLC

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

PERSHING LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CANTOR FITZGERALD SECURITIES

MINT BROKERS

CITICORP INVESTMENT SERVICES

FLEET ENTERPRISES, INC.

Primary Firm SEC Registration

PITON INVESTMENT MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1993

Series 7

Date: 10/20/1993

Current Firm

PITON INVESTMENT MANAGEMENT, LP

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PITON INVESTMENT MANAGEMENT, LP

TRUST BUT VERIFY

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