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LOCKER FINANCIAL SERVICES, LLC

dba LOCKER FINANCIAL SERVICES, LLC · CRD 120900 · Registered Investment Adviser

LOCKER FINANCIAL SERVICES, LLC is a Registered Investment Adviser headquartered in VERONA, NJ. The firm reports $213,787,195 in regulatory assets under management across 391 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$213,787,195
Non-discretionary$0
Total RAUM$213,787,195
Accounts391

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 120900. adviserinfo.sec.gov/firm/summary/120900.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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