Marisa L. Lockhart

CAPROCK CAPITAL ADVISORS

Plano, TX 75024

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CRD#: 4307712

Professional summary

Marisa Lee Lockhart, CFP®, who also goes by Marisa Lee Bennett, Marisa Bennett, is a registered financial advisor currently at CAPROCK CAPITAL ADVISORS INC. located in Plano, Texas.

Marisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Marisa has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marisa Lee Bennett | Marisa Bennett

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marisa Lee Lockhart's 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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

January 20, 2022 - Present

CAPROCK CAPITAL ADVISORS INC.

Office #1: 7800 N. Dallas Pkwy Ste 330, Plano, TX 75024

RIA

CRD#: 170672

Plano, TX

Past

May 7, 2018 - December 31, 2021

CAPROCK CAPITAL ADVISORS INC.

RIA

CRD#: 170672

PLANO, TX

Past

March 9, 2011 - May 10, 2018

QUEST CAPITAL MANAGEMENT, INC.

RIA

CRD#: 114690

DALLAS, TX

Past

January 7, 2011 - May 9, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DALLAS, TX

Past

June 25, 2009 - December 31, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

DALLAS, TX

Past

April 7, 2009 - December 31, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DALLAS, TX

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

Texas
(1/20/2022)

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 66

Date: 6/19/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/6/2009

General Securities Representative Examination

Current Firm

CAPROCK CAPITAL ADVISORS INC.

CAPROCK CAPITAL ADVISORS INC. | CAPROCK CAPITAL ADVISORS, INC.

CRD#: 170672 / SEC#:

Texas

Registered Investment Advisory firm - (1/20/2022 Approved)

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Contact information

Main Address

7800 N. Dallas Pkwy Ste 330, Plano, TX 75024

Mailing Address

Phone number

(972) 290-0288

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 98,820,983

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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Marisa L. Lockhart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marisa Lee Lockhart's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPROCK CAPITAL ADVISORS INC.

CAPROCK CAPITAL ADVISORS INC.

QUEST CAPITAL MANAGEMENT, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2009

SIE

Date: 5/9/2018

Series 7

Date: 4/6/2009

Current Firm

CAPROCK CAPITAL ADVISORS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPROCK CAPITAL ADVISORS INC.

TRUST BUT VERIFY

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