Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Locke is a financial advisor with over 30 years of experience in the industry. Brian is currently registered with LPL Financial LLC and holds Series 7, 9, 10, 24, 63, and 65 licenses. Brian has a strong track record of success and is committed to helping clients achieve their financial goals. Brian specializes in a range of areas including financial planning, portfolio management, and retirement planning. Brian is dedicated to providing personalized service and building long-term relationships with clients.
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.
Consulting and other non-discretionary advisory services
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.
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WA
06/09/2009 - Present
LPL Financial LLC (TUKWILA WA)
WA
05/23/2003 - 10/31/2006
WEDBUSH MORGAN SECURITIES INC. (SEATTLE WA)
NJ
02/03/1997 - 06/03/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
MI
05/05/1992 - 02/14/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
MN
10/21/1991 - 04/23/1992
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/21/1991 - 04/23/1992
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 06/08/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/26/1996
Series 24 - General Securities Principal Examination
BC
Issued 11/04/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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