Arthur S. Locke

LOCKE ADVISORY SERVICES LLC

Ashburn, VA

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CRD#: 6732027

Professional summary

Arthur Sinton Locke III, CFP® is a registered financial advisor currently at LOCKE ADVISORY SERVICES LLC located in Ashburn, Virginia.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Arthur has worked at 1 firm and has passed the Series 65 exam.

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.

I co-own with my wife 2 town home rental properties located in Fairfax, VA. We have been engaged in this business since August 2014. We own 100% of these properties personally; not through a business entity. I manage all aspects of the properties, working approximately 48 hours annually; an average of 4 hours per month. The 48 hours of time is spread through out the year and primarily represents time after business hours, weekends and holidays.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Sinton Locke III'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

March 6, 2017 - Present

LOCKE ADVISORY SERVICES LLC

RIA

CRD#: 286132

Ashburn, VA

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

Virginia
(3/6/2017)

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 65

Date: 12/8/2016

Uniform Investment Adviser Law Examination

Current Firm

LOCKE ADVISORY SERVICES LLC

CRD#: 286132 / SEC#:

Virginia

Registered Investment Advisory firm - (3/6/2017 Approved)

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Contact information

Main Address

Ashburn, VA

Mailing Address

Phone number

(571) 271-5125

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 52,202,168

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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Arthur S. Locke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Sinton Locke III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKE ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2016

Current Firm

LOCKE ADVISORY SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LOCKE ADVISORY SERVICES LLC

TRUST BUT VERIFY

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