Brian LockCRD Number: 3092520
Current Firm: Beam Asset Management
Brian Lock (CRD# 3092520) is an Investment Advisor Representative working at Beam Asset Management in Saint Louis, MO and has over 19 years of experience in the finance industry. Brian Lock 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.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Carsonallaria Wealth Management, Ltd.
|Securities America Inc.||Kirkwood, MO||May 2015 - Current||2|
|Beam Asset Management, LLC||Saint Louis, MO||Feb 2015 - Current||3|
|Mutual Service Corporation||St Louis, MO||Jul 1998 - Current||19|
|Universal Financial Group||St Louis, MO||Jan 1998 - Current||20|
|Lpl Financial Corporation||St. Louis, MO||Sep 2009 - Jul 2015||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1998|
|S65||NASAA Investment Advisors Law Examination||Aug 2001|
Total Assets Under Management327MILLIONS
Total Number of Accounts1,729ACCOUNTS
Average Account Value$189,026
- 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)
- Market timing services
- Educational seminars/workshops
AL, AR, CA, CO, DE, FL, GA, IL, LA, MA, MO, MS, NJ, NY, OK, PA, TN, TX, UT, VA, WA
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