Daniel LockwoodCRD Number: 3080178
Current Firm: Waddell & Reed
Compensation Model: Both
Daniel Lockwood (CRD# 3080178) is an Investment Advisor Representative working at Waddell & Reed in Chicago, IL and has over 16 years of experience in the finance industry. Daniel Lockwood has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination,pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which puts clients' interests first and comply with the Financial Planning Practice Standards.
Ellis Wealth Advisors, LLC
|Daniel Lockwood Inc.||Wilmette, IL||Dec 2014 - Current||4|
|Various Insurance Carriers For W & R Insurance Agencies||Wilmette, IL||Jul 2009 - Current||9|
|Waddell & Reed, Inc.||Chicago, IL||Jul 2009 - Current||9|
|American Express Financial Advisors||Towson, MD||Aug 1999 - Jul 2009||9|
|Ids Life Insurance Company||Towson, MD||Aug 1999 - Jul 2009||9|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 1999|
Total Assets Under Management19,057MILLIONS
Total Number of Accounts153,035ACCOUNTS
Average Account Value$124,526
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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