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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Lockwood is a financial advisor with Morgan Stanley, specializing in providing financial planning, asset allocation advice, and portfolio management for individuals, businesses, and investment companies. Keith has been in the industry since December 2007, working with a diverse range of clients, including individuals, families, trusts, and businesses. Keith holds Series 3, 4, 7, 24, 31, 63, and 66 licenses. Keith is registered to provide investment advisory services in Texas and Washington. Prior to joining Morgan Stanley, Keith worked at Capital One Investing, LLC and Banc of America Investment Services, Inc.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
04/08/2019 - Present
Morgan Stanley (Olympia WA)
WA
02/03/2010 - 09/08/2017
CAPITAL ONE INVESTING, LLC (SEATTLE WA)
WA
05/27/2004 - 07/07/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SEATTLE WA)
NY
10/03/2000 - 05/16/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 04/26/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/14/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/07/2010
Series 4 - Registered Options Principal Examination
BC
Issued 04/02/2010
Series 24 - General Securities Principal Examination
BC
Issued 09/27/2019
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 10/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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