JL
James H. Locke
BEACON CAPITAL
Cedar Rapids, IA 52402
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CRD#: 6072866
JL
Professional summary
James Howard Locke is a registered financial advisor currently at BEACON CAPITAL, LLC located in Cedar Rapids, Iowa.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) INDEPENDENT INSURANCE AGENT,YES,375 COLLINS RD NE STE 120,CEDAR RAPIDS,IA 52402,FIXED INSURANCE,INDEPENDENT INSURANCE AGENT,01/30/2013,240,160,FIXED INSURANCE SALES. 2) LK HOLDINGS LLC,NO,2745 2ND AVE ST, CEDAR RAPIDS, IA 52403,RENTAL PROPERTIES,OWNER,12/28/2014,40,10,MAINTAIN RENTAL PROPERTIES,AND EVALUATE PROPERTIES FOR PURCHASING. 3) LOCKE FINANCIAL PLANNING, LLC.; YES; 375 COLLINS RD NE STE 120,CEDAR RAPIDS,IA 52402; FINANCIAL SERVICES/DBA; OWNER; 02/01/2015; 200/80; SALE OF FIXED INSURANCE, SECURITIES, AND INVESTMENT PRODUCTS. 4) COE COLLEGE; NO; CEDAR RAPIDS, IA; COACHING; ASSISTANT WRESTLING COACH; 09/2023; 16/MO; 0/MO;
CRS (Client Relationship Summary) - RIA
Click below to view James Howard Locke'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®
NoneExperience
Current
March 23, 2017 - Present
BEACON CAPITAL, LLC
Office #1: 375 Collins Road Ne, Suite 120, Cedar Rapids, IA 52402RIA
CRD#: 286316
Cedar Rapids, IA
Past
October 30, 2013 - February 23, 2017
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CEDAR RAPIDS, IA
Past
August 23, 2012 - February 23, 2017
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CEDAR RAPIDS, IA
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".
BC
BEACON CAPITAL, LLC
BEACON CAPITAL, LLC
CRD#: 286316 / SEC#: 801-120315
RIA
Registered Investment Advisory firm - (2/12/2021 Approved)Illinois
Registered Investment Advisory firm - (2/17/2021 Terminated)Iowa
Registered Investment Advisory firm - (2/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - (3/15/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (2/17/2021 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
Iowa(3/23/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BC
BEACON CAPITAL, LLC
BEACON CAPITAL, LLC
CRD#: 286316 / SEC#: 801-120315
RIA
Registered Investment Advisory firm - (2/12/2021 Approved)Illinois
Registered Investment Advisory firm - (2/17/2021 Terminated)Iowa
Registered Investment Advisory firm - (2/17/2021 Terminated)Louisiana
Registered Investment Advisory firm - (3/15/2021 Terminated)Wisconsin
Registered Investment Advisory firm - (2/17/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
375 Collins Road Ne, Suite 120, Cedar Rapids, IA 52402
Mailing Address
Phone number
(319) 389-4371
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 951 |
| AUM (Assets Under Management) | $ 176,237,651 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
