Craig J. Freund

LOCKE FINANCIAL SERVICES

Palatine, IL 60067

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CRD#: 7391693

Professional summary

Craig James Freund is a registered financial advisor currently at LOCKE FINANCIAL SERVICES, INC. located in Palatine, Illinois.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Craig 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig James Freund'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®

None

Experience

Current

July 14, 2022 - Present

LOCKE FINANCIAL SERVICES, INC.

Office #1: 630 N North Court, Suite 108, Palatine, IL, 60067

RIA

CRD#: 117611

Palatine, IL

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

Illinois
(7/14/2022)

IAR

Iowa
(7/14/2022)

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: 7/14/2022

Uniform Investment Adviser Law Examination

Current Firm

LOCKE FINANCIAL SERVICES, INC.

CRD#: 117611 / SEC#: 801-67590

RIA

Registered Investment Advisory firm - (8/20/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/19/2017 Terminated)

Illinois

Registered Investment Advisory firm - (6/19/2012 Approved)

Iowa

Registered Investment Advisory firm - (6/21/2012 Approved)

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).

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Contact information

Main Address

630 N North Court Suite 108, Palatine, IL 60067

Mailing Address

Phone number

(847) 991-2705

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 55,000,000

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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Craig J. Freund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig James Freund's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCKE FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2022

Current Firm

LOCKE FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LOCKE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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