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Keith Lockwood
KEITH A LOCKWOOD, KEITH ANDREW LOCKWOOD
CRD#: 4141838
IA
B
MORGAN STANLEYCRD#: 149777 724 Columbia Street Northwest
Suite 350
Olympia, WA 98501
Suite 350
Olympia, WA 98501
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Alabama 7/24/2019
B
Nevada 7/24/2019
B
Alaska 7/24/2019
B
New York 3/24/2021
B
Arizona 7/24/2019
B
North Carolina 4/26/2024
B
California 7/12/2019
B
Ohio 8/30/2023
B
Colorado 7/24/2019
B
Oklahoma 4/18/2022
B
Georgia 7/24/2019
B
Oregon 7/24/2019
B
Hawaii 7/24/2019
B
Tennessee 12/8/2022
B
Idaho 7/24/2019
B
Texas 7/24/2019
B
Kansas 7/24/2019
IA
Texas 2/24/2020
B
Maryland 11/6/2023
B
Virginia 7/24/2019
B
Michigan 7/24/2019
IA
Washington 4/8/2019
B
Minnesota 5/17/2021
B
Washington 4/26/2019
B
Missouri 7/24/2019
B
Wisconsin 7/24/2019
B
Montana 7/24/2019
B
Wyoming 7/24/2019
SRO Registrations
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B
B
B
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IA
Registered with this firm since 4/8/2019
B
Registered with this firm since 4/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/09/2012 - 09/08/2017 | MCLEAN, VA | |
B | 02/03/2010 - 09/08/2017 | SEATTLE, WA | |
IA | 06/14/2004 - 07/07/2006 | SEATTLE, WA | |
B | 05/27/2004 - 07/07/2006 | SEATTLE, WA | |
B | 10/03/2000 - 05/16/2002 | PURCHASE, NY |
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.