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Detailed Report
BRIAN DAVID LOCKHART
CRD#: 2508255
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Investment Adviser
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Previous Broker
PEAK CAPITAL MANAGEMENT, LLCCRD#: 141488 9250 East Costilla Avenue
Suite 430
Greenwood Village, CO 80112
Registration History
19952000200520102015202020252 FIRMS1994 - 2005 (10 years)IAPEAK CAPITAL MANAGEMENT, LLC (CRD# 141488)2007 - Present (18 years)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2005 - 2012 (7 years)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2005 - 2007 (2 years)IACAMBRIDGE INVESTMENT RESERARCH... (CRD# 39543)2005 - 2005 (<1 year)IAAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1997 - 2005 (7 years)
Disclosure(s)
View By:
9/14/2018
Regulatory
Final
License(s)

State Registrations

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California 6/20/2017
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New Mexico 6/21/2017
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Colorado 1/18/2007
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Texas 4/9/2008
Current Registration(s)
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PEAK CAPITAL MANAGEMENT, LLC (CRD#:141488)
9250 East Costilla Avenue Suite 430, Greenwood Village, CO 80112
Registered with this firm since 1/18/2007
Previous Registration(s)
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 01/03/2005 - 07/20/2012 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) COLORADO SPRINGS, CO
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 03/28/2005 - 06/15/2007 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) COLORADO SPRINGS, CO
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 01/03/2005 - 03/28/2005 CAMBRIDGE INVESTMENT RESERARCH, INC. (CRD#:39543) COLORADO SPRINGS, CO
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 09/12/1997 - 01/07/2005 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) COLORADO SPRINGS, CO
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 07/06/1994 - 01/07/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
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 07/06/1994 - 01/07/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.