Luellen H. Lockwood
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.
Luellen Hubbard Lockwood, who also goes by Lu Lockwood, was a registered financial professional .
Luellen is a previously registered financial professional and started their career in finance in 2001. Luellen had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2012 - December 31, 2018
AVIER WEALTH ADVISORS
September 24, 2007 - June 28, 2012
RETIREMENT ASSET MANAGEMENT, LLC
December 31, 2001 - December 15, 2005
THE PACIFIC FINANCIAL GROUP, INC.
Primary Firm SEC Registration
AVIER WEALTH ADVISORS
CRD#: 161077 / SEC#: 801-73301
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
AVIER WEALTH ADVISORS
CRD#: 161077 / SEC#: 801-73301
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,477 |
| AUM (Assets Under Management) | $ 964,391,865 |
Red Flags
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