James Locke, financial advisor Cedar Rapids IA
73 score

James Locke

CRD Number: 6072866
Current Firm: Beacon Capital, LLC

James Locke (CRD# 6072866) is an Investment Advisor Representative working at Beacon Capital, LLC in Cedar Rapids, IA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Beacon Capital, LLC Cedar Rapids, IA Mar 2017 - Current 1
Burrlocke Outdoor Solutions Inc. Cedar Rapids, IA May 2015 - Current 3
Locke Financial Planning, LLC Cedar Rapids, IA Jan 2015 - Current 3
Lk Holdings LLC Cedar Ra, IA Nov 2014 - Current 3
Vinton Shellsburg High School Vinton, IA Nov 2014 - Mar 2017 2
Voya Financial Advisors, Inc. Cedar Rapids, IA Oct 2013 - Feb 2017 3
Voya Financial Advisors, Inc. Cedar Rapids, IA Aug 2012 - Feb 2017 4
Lk Design Cedar Rapids, IA Sep 2015 - Nov 2016 1
Unemployed Cedar Rapids, IA Apr 2012 - Aug 2012 < 1
General Nutrition Center Cedar Rapids, IA Nov 2009 - Apr 2012 2
Amway Corp Cedar Rapids, IA May 2011 - Dec 2011 < 1
Full Time Student Minneapolis, MN Sep 2004 - Sep 2011 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2012
S65 NASAA Investment Advisors Law Examination Jan 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James H. Locke
Phone Number: 319-389-4371
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    23
    MILLIONS
  • Total Number of Accounts
    424
    ACCOUNTS
  • Average Account Value
    $53,361
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

IA, IL

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BADGES
73

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