Unclaimed
Jeffery W Lockman is a financial advisor currently working at Raymond James & Associates, Inc.. Jeffery has been in the industry since July 7, 1993 and has an active registration in South Carolina and Texas for both broker-dealer and investment advisor. Jeffery has experience with various financial institutions including Wells Fargo Clearing Services, LLC, Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Jeffery also has experience in providing financial planning, pension consulting, and educational seminars.
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
SC
04/27/2017 - Present
Raymond James & Associates, Inc. (GREENVILLE SC)
SC
03/06/2009 - 04/25/2017
WELLS FARGO CLEARING SERVICES, LLC (GREENVILLE SC)
SC
04/07/2000 - 04/01/2009
CITIGROUP GLOBAL MARKETS INC. (GREENVILLE SC)
NY
07/08/1993 - 04/11/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/13/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/06/1993
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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