Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn M Lockwood is a financial advisor with over 17 years of experience in the industry. John has a Series 7, Series 66 and SIE licenses. John specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and charitable organizations. John currently works for Rockefeller Financial LLC in New York, NY, where he has worked since 2020. Prior to that, John worked for Morgan Stanley in New York, NY and Independent Financial Group, LLC in Lewiston, NY. John has a diverse client base and provides a variety of services, including financial planning, portfolio management, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
02/03/2021 - Present
Rockefeller Financial LLC (NEW YORK NY)
NY
02/27/2018 - 02/24/2020
MORGAN STANLEY (NEW YORK NY)
NY
11/17/2016 - 02/23/2018
INDEPENDENT FINANCIAL GROUP, LLC (Lewiston NY)
BOTH
Issued 02/27/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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