Unclaimed
Todd Lockwood is a financial professional with over 30 years of experience in the industry. Todd currently works at Alps Distributors, Inc. as a registered representative. Previously, Todd worked at CCO Capital, LLC and PEBSCO Securities Corp. Todd holds the Series 6, Series 99, and SIE licenses and passed the Uniform Securities Agent State Law Examination (Series 63).
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.
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.
1
2
AZ
09/08/2023 - Present
Alps Distributors, Inc. (Scottsdale AZ)
AZ
09/17/2012 - 02/01/2022
CCO CAPITAL, LLC (PHOENIX AZ)
OH
07/13/1993 - 01/03/1996
PEBSCO SECURITIES CORP. (COLUMBUS OH)
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 09/15/2012
Series 99 - Operations Professional Examination
BC
Issued 07/12/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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