LOCKHART, BRIAN, DAVID

C11

IAR CRD 2508255·Industry start 2008-05-05

Identity

Legal name

LOCKHART, BRIAN, DAVID

CRD

2508255

NPN

—

Career

Previous employments

CAMBRIDGE INVESTMENT RESEARCH, INC.2005-01-03

AMERICAN EXPRESS FINANCIAL ADVISORS INC.1994-07-06

Current branches

—

Designations

—

Education

—

BrokerCheck signals

Industry start

2008-05-05

Est. age

40

Age confidence

—

Est. birth year

1986

BC active

No

IA active

Yes

Disclosures

Yes

Private residence

No

Firm affiliations

2

SHEPHERD KAPLAN KROCHUK, LLC

Direct Owner · 17.5% ownership

PEAK CAPITAL MANAGEMENT, LLC

IAR · Direct Owner · 17.5% ownership