Brian Lock, financial advisor Saint Louis MO
96 score

Brian Lock

CRD 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 18 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.

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Professional Designations
Company Name Location Dates Years
Securities America Inc. Kirkwood, MO May 2015 - Current 1
Beam Asset Management, LLC Saint Louis, MO Feb 2015 - Current 1
Mutual Service Corporation St Louis, MO Jul 1998 - Current 18
Universal Financial Group St Louis, MO Jan 1998 - Current 18
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
Contact Info for Brian C. Lock
Phone Number: 985-893-1440
Registered State(s):
  • MO
By the Numbers
  • Total Assets Under Management
    327
    MILLIONS
  • Total Number of Accounts
    1,729
    ACCOUNTS
  • Average Account Value
    $189,026
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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)
  • Market timing services
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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