Edward M. Lockett

FWG INVESTMENTS

Lexington, KY 40509

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CRD#: 6196017

Professional summary

Edward Matthew Lockett, who also goes by Edward M Lockett, Matt Lockett, is a registered financial advisor currently at FWG INVESTMENTS, LLC located in Lexington, Kentucky.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Edward has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Edward M Lockett | Matt 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.

KENTUCKY HOUS DISTRICT 39 POSITION: Elected State Representative ADDRESS: 700 Capital Ave, Frankfort KY 40601, United States INVESTMENT RELATED: No NATURE: Elected Official START DATE: 01/04/2021 NUMBER OF HOURS: 80 NO. OF HOURS DURING SECURITIES TRADING HOURS: 40 DESCRIPTION: Represent people in the 39th District by introducing and voting on bills in the KY General Assembly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Matthew Lockett'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

July 21, 2021 - Present

FWG INVESTMENTS, LLC

Office #1: 2704 Old Rosebud Road Suite 160, Lexington, KY 40509

RIA

CRD#: 284064

Lexington, KY

Past

December 23, 2019 - July 14, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Lexington, KY

Past

December 23, 2019 - July 14, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Lexington, KY

Past

December 14, 2017 - October 31, 2019

EDWARD JONES

RIA

CRD#: 250

Nicholasville, KY

Past

November 21, 2017 - October 31, 2019

EDWARD JONES

CRD#: 250

Nicholasville, KY

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".

FWG INVESTMENTS, LLC

FAMILY WEALTH GROUP, LLC | FWG INVESTMENTS, LLC

CRD#: 284064 / SEC#: 801-112954

RIA

Registered Investment Advisory firm - (4/26/2018 Approved)

Kentucky

Registered Investment Advisory firm - (6/18/2018 Terminated)

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).

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

Kentucky
(7/21/2021)

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: 12/13/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2017

General Securities Representative Examination

Current Firm

FWG INVESTMENTS, LLC

FAMILY WEALTH GROUP, LLC | FWG INVESTMENTS, LLC

CRD#: 284064 / SEC#: 801-112954

RIA

Registered Investment Advisory firm - (4/26/2018 Approved)

Kentucky

Registered Investment Advisory firm - (6/18/2018 Terminated)

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Contact information

Main Address

2704 Old Rosebud Road Suite 160, Lexington, KY 40509

Mailing Address

Phone number

(859) 309-0349

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FWG INVESTMENTS, LLC - FIRM BROCHURE (8/19/2025)

Regulatory assets under management

Total Number of Accounts	2,525
AUM (Assets Under Management)	$ 250,080,209

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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Firm Stability Insights

Edward M. Lockett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Matthew Lockett's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

FWG INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2017

Series 7TO

Date: 7/8/2022

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2017

Current Firm

FWG INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FWG INVESTMENTS, LLC

TRUST BUT VERIFY

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