Brandon R. Lockwood

LOCKWOOD WEALTH STRATEGIES

Houston, TX

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CRD#: 4952640

Professional summary

Brandon Robert Lockwood is a registered financial advisor currently at LOCKWOOD WEALTH STRATEGIES, LLC located in Houston, Texas.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Brandon has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

1) LICENSED INSURANCE; AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 11/06/2013; Less than 10% of time; same address. 2) DEER PARK CHAMBER OF COMMERCE; TREASURER; START DATE: 01/30/2018; 4 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Robert 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

February 2, 2024 - Present

LOCKWOOD WEALTH STRATEGIES, LLC

RIA

CRD#: 327781

Houston, TX

Past

September 8, 2022 - February 5, 2024

CETERA ADVISORS LLC

CRD#: 10299

DEER PARK, TX

Past

November 12, 2020 - November 17, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DEER PARK, TX

Past

June 24, 2018 - March 5, 2024

LIFESTYLE ASSET MANAGEMENT, INC.

RIA

CRD#: 157450

Deer Park, TX

Past

May 10, 2010 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

DEER PARK, TX

Past

February 28, 2007 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Texas CIty, 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
(2/2/2024)

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: 5/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2007

General Securities Principal Examination

Current Firm

LOCKWOOD WEALTH STRATEGIES, LLC

CRD#: 327781 / SEC#: 801-129400

RIA

Registered Investment Advisory firm - (6/13/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/23/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Houston, TX

Mailing Address

P.o. Box 590426, Houston, TX 77259

Phone number

(346) 487-8700

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 66,724,948

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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Brandon R. Lockwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Robert Lockwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKWOOD WEALTH STRATEGIES, LLC

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

LIFESTYLE ASSET MANAGEMENT, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 2/27/2007

Series 24

Date: 8/24/2007

Current Firm

LOCKWOOD WEALTH STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LOCKWOOD WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

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