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Douglas Edward Lockwood

CX Institutional, LLC

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About Douglas Edward Lockwood

Douglas Edward Lockwood is a financial advisor registered with CX Institutional, LLC, based in Auburn, Indiana. Douglas holds Series 6, 7, 63, and 66 licenses, as well as the SIE exam. He is also a Certified Financial Planner. Douglas has been in the industry since 1988. Douglas has previously worked with LPL Financial LLC and Raffensparger, Hughes & Co., Inc. Douglas provides financial planning and portfolio management services for individuals and businesses.

Firm Information

Douglas Lockwood is currently registered with CX Institutional, LLC. CX Institutional, LLC is an investment advisor registered with the SEC. The firm manages $3,314,261,031 in assets for 10,540 accounts. CX Institutional, LLC provides financial planning, portfolio management for businesses, and portfolio management for individuals. Their clients include high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and charitable organizations. They also have a wrap fee program.
CX Institutional, LLC

200 EAST 7TH STREET

AUBURN, IN 46706

$3.31B

Assets Under Management

Not reported

Total Clients

42

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Douglas Lockwood’s Registration & Firm History

IN

03/29/2018 - Present

CX Institutional, LLC (AUBURN IN)

IN

10/21/2005 - 07/16/2020

LPL FINANCIAL LLC (AUBURN IN)

NA

05/01/1989 - 09/01/1989

RAFFENSPERGER, HUGHES & CO., INC.

NA

10/27/1988 - 06/03/1989

MML INVESTORS SERVICES, INC.

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Licenses & Designations

BOTH

Issued 10/27/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/26/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/2005

Series 7 - General Securities Representative Examination

BC

Issued 10/26/1988

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Douglas Edward Lockwood.
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