Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Aloysius Locke is an Investment Advisor Representative with Cambridge Investment Research Advisors, Inc. John has been in the financial services industry since 1989 and holds the Series 6, 7, 24, 26, 63, 65, 99TO and SIE licenses. John is registered in Georgia and Texas.
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.
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.
Solicitation fees from 3rd party money managers
1
2
GA
09/29/2011 - Present
Cambridge Investment Research Advisors, Inc. (Atlanta GA)
CT
08/11/1994 - 09/11/2003
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
MN
08/22/1989 - 08/13/1994
FORTIS INVESTORS, INC. (OAKDALE MN)
IA
Issued 12/23/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/25/1991
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1993
Series 7 - General Securities Representative Examination
BC
Issued 08/15/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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