Cardel Locke
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.
Cardel Locke was a registered financial professional .
Cardel is a previously registered financial professional and started their career in finance in 2011. Cardel had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2018 - September 4, 2019
LEGACY INVESTMENT ADVISORS, LLC
November 6, 2013 - February 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2013 - February 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2011 - October 15, 2013
EQUITABLE ADVISORS, LLC
October 27, 2011 - October 15, 2013
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGACY INVESTMENT ADVISORS, LLC
CRD#: 144477 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 27,008,703 |
Red Flags
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