Lionel W. Locke
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.
Lionel William Locke was a registered financial professional .
Lionel is a previously registered financial professional and started their career in finance in 1978. Lionel had worked at 3 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1986 - December 21, 1989
AFFILIATED SECURITY BROKERS, INC.
August 31, 1981 - September 9, 1985
UBS FINANCIAL SERVICES INC.
December 1, 1978 - September 11, 1981
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 7/2/1984
Foreign Currency Options ExaminationSeries 5
Date: 7/2/1984
Interest Rate Options ExaminationSeries 8
Date: 6/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AFFILIATED SECURITY BROKERS, INC.
CRD#: 10129 / SEC#: , 8-25956
Contact information
Documents
Red Flags
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