Frank LockwoodCRD Number: 2009758
Current Firm: Ubs Financial Services Inc.
Frank Lockwood (CRD# 2009758) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Stamford, CT and has over 27 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Ubs Financial Services Inc.||Stamford, CT||Aug 2010 - Current||7|
|Morgan Stanley Smith Barney||Greenwich, CT||Jun 2009 - Aug 2010||1|
|Morgan Stanley & Company, Incorporated||Greenwich, CT||Apr 2007 - Jun 2009||2|
|Morgan Stanley Dw Inc.||Greenwich, CT||Sep 1989 - Apr 2007||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1990|
|S65||NASAA Investment Advisors Law Examination||Sep 2007|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- 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)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops