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AL

Angela M. Lockwood

Some features on this profile are disabled
CRD#: 6197373
AL

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.

Angela Marie Lockwood was a registered financial professional .

Angela is a previously registered financial professional and started their career in finance in 2015. Angela had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

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

March 29, 2018 - February 20, 2024

CX INSTITUTIONAL, LLC

RIA
CRD#: 292627
AUBURN, IN
Past

November 23, 2015 - September 18, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
AUBURN, IN
Past

April 28, 2015 - August 15, 2018

HEFTY WEALTH PARTNERS

RIA
CRD#: 153880
AUBURN, IN

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".
CI
CX INSTITUTIONAL, LLC
CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA
Registered Investment Advisory firm - (3/1/2018 Approved)

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
Series 63
Date: 9/10/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/28/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/2015
General Securities Representative Examination

Current Firm

CI
CX INSTITUTIONAL, LLC
CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA
Registered Investment Advisory firm - (3/1/2018 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 East 7th Street, Auburn, IN 46706
Mailing Address
Phone number
(260) 927-1830
Established
Firm type
Fiscal year end
# of Employees
106

SEC notice filing (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (10/14/2025)
ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts14,284
AUM (Assets Under Management)$ 4,121,239,331

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.

Company Information

CX INSTITUTIONAL, LLC

CRD#: 292627

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