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Ryan G. Lockhart

Some features on this profile are disabled
CRD#: 5478643
RL

Professional summary

Ryan G Lockhart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ryan is a previously registered financial advisor and started their career in finance in 2008. Prior to being barred, Ryan had worked at 3 firms, which includes BPU INVESTMENT MANAGEMENT INC., ESSEX NATIONAL SECURITIES LLC, UVEST FINANCIAL SERVICES GROUP INC..

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2010 - May 27, 2011

BPU INVESTMENT MANAGEMENT INC.

RIA
CRD#: 17058
PITTSBURGH, PA
Past

September 1, 2010 - May 27, 2011

BPU INVESTMENT MANAGEMENT INC.

BD
CRD#: 17058
PITTSBURGH, PA
Past

June 7, 2010 - August 31, 2010

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
NEW CASTLE, PA
Past

May 28, 2010 - August 31, 2010

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NEW CASTLE, PA
Past

March 14, 2008 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
NEW CASTLE, PA
Past

February 15, 2008 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
NEW CASTLE, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/13/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/2008
General Securities Representative Examination

Current Firm

BI
BPU INVESTMENT MANAGEMENT INC.
BERKOWITZ, PIERCHALSKI INC. | WBRP INC. | PARAGON WEALTH MANAGEMENT | NEW ALBANY CAPITAL | NADAV BAUM GROUP (NBG) | EQUITY CAPITAL MANAGEMENT | CUVEST | BPU INVESTMENT MANAGEMENT, INC. | BPU INVESTMENT MANAGEMENT INC. | BPU INVESTMENT GROUP, INC. | BPU CAPITAL MARKETS

CRD#: 17058 / SEC#: 801-60229, 8-34979

BD
Terminated by SEC on 11/29/2020
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Oxford Center 301 Grant St., Ste. 3300, Pittsburgh, PA 15219
Mailing Address
Phone number
Established
Pennsylvania since 09/16/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

2019 MARCH BPU BROCHURE (3/29/2019)
2019 BPU WRAP BROCHURE (3/29/2019)

Direct owners and executive officers

NamePositionCRD#
BRAHIM, PAUL JEFFREYCEO, CCO, CHIEF INVESTMENT OFFICER, BOARD MEMBER1518079
UNKOVIC, ROBERT ALEXANDERPRESIDENT, TREASURER, BOARD MEMBER1345036
UNKOVIC, DANIEL LEYLANDCHIEF OPERATIONS OFFICER, FINOP6189840

Disclosures

Regulatory Event6
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BPU INVESTMENT MANAGEMENT INC.

CRD#: 17058

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