Stephen LockeCRD Number: 1122385
Current Firm: First American National Investment Advisors, LLC
Stephen Locke (CRD# 1122385) is an Investment Advisor Representative working at First American National Investment Advisors, LLC in Cross Junction, VA and has over 34 years of experience in the finance industry. Stephen Locke 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 put clients' interests first and comply with the Financial Planning Practice Standards.
Lpl Financial LLC
Planmember Securities Corporation
Bauserman Financial Services, Inc.
|Alphastar Capital Management||Cornelius, NC||Nov 2012 - Current||4|
|Amerus||Des Moines, IA||Oct 2002 - Current||14|
|United Producers Group||Salem, VA||Jul 2002 - Current||15|
|Life/annuity Insurance Partners Agency, Inc.||Salem, VA||Jul 2002 - Current||15|
|Fortune Financial Services Inc.||New Brighton, PA||Jan 2007 - Nov 2012||5|
|Tower Square Securities, Inc.||Hartford, CT||Jul 2005 - Dec 2006||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1983|
|S65||NASAA Investment Advisors Law Examination||Nov 1998|
Total Assets Under Management78MILLIONS
Total Number of Accounts1,420ACCOUNTS
Average Account Value$54,924
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, CT, FL, GA, IL, KS, KY, MA, MI, MN, MT, NC, NE, NJ, NV, OH, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI, WV
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