Brian J. Lockett
COMPREHENSIVE WEALTH MANAGEMENT
Lynnwood, WA 98037-4757
Some features on this profile are disabled
CRD#: 4573162
Professional summary
Brian Joseph Lockett, CFP®, who also goes by Brian J. Lockett, is a registered financial advisor currently at COMPREHENSIVE WEALTH MANAGEMENT located in Lynnwood, Washington.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J. Lockett
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.
(1) WASHINGTON STATE UNIVERSITY FOUNDATION POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2014 ADDRESS: 23013 3rd Ave SE, Bothell WA 98021, United States DESCRIPTION: MEMBER OF WASHINGTON STATE UNIVERSITY FOUNDATION BOARD OF DIRECTORS (2) B&S LOCKETT, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/27/2006 ADDRESS: 3500-188th Street Sw, Suite 102, Lynnwood WA 98037, United States DESCRIPTION: 50% BUSINESS OWNER OF B&S LOCKETT, INC (3) COMPREHENSIVE WEALTH MANAGEMENT, LLC POSITION: VP, Lead Advisor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 150 START DATE: 01/02/2002 ADDRESS: 3500-188th Street Sw, Suite 102, Lynnwood WA 98037, United States DESCRIPTION: OWNER OF COMPREHENSIVE WEALTH MANAGEMENT, LLC A REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES (4) ASSOCIATION OF FINANCIAL EDUCATORS POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 02/24/2023 ADDRESS: WA 12345, United States DESCRIPTION: Workshops focused on financial topics.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Joseph Lockett'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®
Start date: 2011
Experience
Current
March 28, 2008 - Present
COMPREHENSIVE WEALTH MANAGEMENT
Office #1: 3500 188th St Sw Suite 102, Lynnwood, WA 98037-4757RIA
CRD#: 116958
Lynnwood, WA
Past
November 29, 2013 - August 23, 2024
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
LYNNWOOD, WA
Past
June 22, 2004 - April 28, 2008
GENEOS WEALTH MANAGEMENT, INC.
RIA
CRD#: 120894
LYNNWOOD, WA
Past
February 27, 2004 - November 29, 2013
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
LYNNWOOD, WA
Past
September 26, 2002 - July 31, 2003
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
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".
CW
COMPREHENSIVE WEALTH MANAGEMENT
ARFORD & ASSOCIATES COMPREHENSIVE WEALTH MGMT, INC. | COMPREHENSIVE WEALTH MANAGEMENT, LLC | COMPREHENSIVE WEALTH MANAGEMENT
CRD#: 116958 / SEC#: 801-69045
RIA
Registered Investment Advisory firm - (4/18/2008 Approved)Washington
Registered Investment Advisory firm - (4/18/2008 Terminated)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
California(3/23/2009)
IAR
Colorado(6/8/2009)
IAR
Idaho(3/25/2009)
IAR
Oregon(4/28/2009)
IAR
Washington(3/28/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
COMPREHENSIVE WEALTH MANAGEMENT
ARFORD & ASSOCIATES COMPREHENSIVE WEALTH MGMT, INC. | COMPREHENSIVE WEALTH MANAGEMENT, LLC | COMPREHENSIVE WEALTH MANAGEMENT
CRD#: 116958 / SEC#: 801-69045
RIA
Registered Investment Advisory firm - (4/18/2008 Approved)Washington
Registered Investment Advisory firm - (4/18/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3500 188th St Sw Suite 102, Lynnwood, WA 98037-4757
Mailing Address
Phone number
(425) 778-6160
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,677 |
| AUM (Assets Under Management) | $ 308,380,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
