Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Reginald? Claim Your ProfileReginald Lockett is an investment advisor representative with LPL Financial LLC. Reginald is based in Mequon, Wisconsin and has over 20 years of experience in the financial services industry. Reginald has a broad range of experience, having previously worked with firms such as OSAIC WEALTH, INC., SECURITIES AMERICA, INC., TRIAD ADVISORS LLC, OSAIC SERVICES, INC., WOODBURY FINANCIAL SERVICES, INC., FSC SECURITIES CORPORATION, and EQUITABLE ADVISORS, LLC. Reginald holds a number of licenses and certifications, including Series 66, Series 53, Series 4, Series 26, Series 10, Series 9, Series 24, Series 99TO, Series 52TO, Series 7TO, and SIE.
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.
Consulting and other non-discretionary advisory services
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.
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2
WI
06/25/2024 - Present
LPL Financial LLC (Mequon WI)
AZ
04/04/2022 - 04/17/2024
OSAIC WEALTH, INC. (SCOTTSDALE AZ)
NE
04/04/2022 - 04/17/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
GA
04/04/2022 - 04/17/2024
TRIAD ADVISORS LLC (ATLANTA GA)
AZ
09/01/2021 - 04/17/2024
OSAIC SERVICES, INC. (SCOTTSDALE AZ)
MN
04/04/2022 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
04/04/2022 - 11/03/2023
FSC SECURITIES CORPORATION (ATLANTA GA)
WI
09/19/2020 - 11/10/2020
EQUITABLE ADVISORS, LLC (MILWAUKEE WI)
BOTH
Issued 10/19/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/21/2023
Series 4 - Registered Options Principal Examination
BC
Issued 12/03/2022
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 09/09/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/08/2021
Series 24 - General Securities Principal Examination
BC
Issued 06/24/2024
Series 99TO - Operations Professional Examination
BC
Issued 09/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/19/2020
Series 7TO - General Securities Representative Examination
BC
Issued 09/03/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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