Susan Lockwood, financial advisor Manteno IL
73 score

Susan Lockwood

CRD 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 30 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James Financial Services Advisors Inc. Manteno, IL Nov 2012 - Current 4
Raymond James Financial Services Manteno, IL Mar 2008 - Current 8
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
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:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Susan L. Lockwood
Phone Number: 727-567-5877
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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

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BADGES
73

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