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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Locke is a financial advisor registered with Raymond James & Associates, Inc. Adam Locke is a registered representative in Massachusetts and Connecticut. Adam Locke is also a registered investment advisor in Connecticut. Adam Locke has been in the industry since November 1997. Adam Locke was previously employed by Commonwealth Financial Network, Citizens Securities, Inc., UVEST Financial Services Group, Inc., LPL Financial Corporation, Quick & Reilly, Inc., UBS PaineWebber Inc., and Bear, Stearns & Co. Inc. Adam Locke offers investment advisory services to individuals, businesses, and retirement plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
08/14/2024 - Present
Raymond James & Associates, Inc. (Dover MA)
MA
10/18/2022 - 02/06/2024
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
MA
10/09/2009 - 09/01/2022
CITIZENS SECURITIES, INC. (WESTWOOD MA)
NC
06/03/2008 - 09/03/2008
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
07/19/2004 - 09/03/2008
LPL FINANCIAL CORPORATION (CHARLOTTE NC)
NY
10/08/2002 - 06/16/2003
QUICK & REILLY, INC. (NEW YORK NY)
NJ
10/28/1998 - 10/22/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/27/1995 - 09/24/1998
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 11/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/19/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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