Susan LockwoodCRD Number: 1422855
Current Firm: Raymond James Financial Services Advisors, Inc.
Susan Lockwood (CRD# 1422855) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Manteno, IL and has over 31 years of experience in the finance industry.
Lpl Financial LLC
|Homestar Bank||Manteno, IL||Feb 2016 - Current||2|
|Raymond James Financial Services Advisors Inc.||Manteno, IL||Nov 2012 - Current||5|
|Raymond James Financial Services||Manteno, IL||Mar 2008 - Current||10|
|Rlb Financial Services||Oak Brook, IL||Aug 2015 - Feb 2016||< 1|
|Support Company||Bourbonnais, IL||Jan 2010 - Oct 2013||3|
|Homestar Bank||Bourbonnais, IL||Mar 2008 - Sep 2013||5|
|Linsco/private Ledger Corp.||Peotone, IL||Sep 1996 - Mar 2008||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1986|
|S66||NASAA Uniform Combined State Law Examination||Oct 2012|
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:
- Regulatory Event
Total Assets Under Management81,239MILLIONS
Total Number of Accounts280,698ACCOUNTS
Average Account Value$289,416
- A percentage of assets under your management
- Hourly charges
- 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
- Pension consulting services
- 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, MA, 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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