Brian F. Lockley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Forrest Lockley, who also goes by Brian F Lockley, Brian Lockley, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2014 - January 30, 2015
CABRERA CAPITAL MARKETS, LLC
July 3, 2012 - July 28, 2014
TULLETT PREBON FINANCIAL SERVICES LLC
April 11, 2012 - June 8, 2012
MILLER TABAK + CO., LLC
January 4, 2006 - April 12, 2012
BGC FINANCIAL, L.P.
March 3, 2003 - December 14, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
June 21, 2002 - December 31, 2002
MML INVESTORS SERVICES, LLC
February 2, 2000 - December 31, 2001
USALLIANZ SECURITIES, INC.
July 2, 1997 - November 26, 1997
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
