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Eric Lock

Eagle Strategies LLC

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About Eric Lock

Eric Lock is an investment advisor representative with Eagle Strategies LLC. Eric Lock holds a Series 65 license and a Series 63 license which allows them to provide investment advice in California. Eric Lock is also a registered representative in California and is registered with the Financial Industry Regulatory Authority (FINRA). Eric Lock has been in the financial industry since 2014 and has been with Eagle Strategies LLC since 2022. Eric Lock specializes in providing financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for individuals. Eric Lock previously worked at E.R.L MANAGEMENT INC., New York Life Insurance Company and NYLIFE Securities LLC.

Firm Information

Eric Lock is currently registered with Eagle Strategies LLC. Eagle Strategies LLC is an investment advisor headquartered in New York, NY. The firm provides a range of services, including financial planning, pension consulting, educational seminars, and publication of periodicals. They manage assets for individuals, high-net-worth individuals, corporations, and charitable organizations. Eagle Strategies has over 1,998 registered representatives and manages over $20 billion in assets.
Eagle Strategies LLC

801 N. BRAND BLVD

GLENDALE, CA 91203

$20.36B

Assets Under Management

6,070

Total Clients

2,031

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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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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Eric Lock’s Registration & Firm History

CA

05/31/2022 - Present

Eagle Strategies LLC (GLENDALE CA)

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Licenses & Designations

BC

Issued 1/11/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 9/20/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/21/2024

Series 24 - General Securities Principal Examination

BC

Issued 12/23/2021

Series 7TO - General Securities Representative Examination

BC

Issued 7/31/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Lock.
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