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Courtney M Lockwood

Charles Schwab & Co., Inc.

Carmel, IN

Indianapolis, IN

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-02
IN RA APPROVED 2002-10-03
  • TX RA
    APPROVED_RES
    Since 2019-01-02
  • IN RA
    APPROVED
    Since 2002-10-03

Branch Locations

2375 East 116Th Street, Carmel, IN 46032-3281 • United States

8332 Woodfield Crossing Blvd., Indianapolis, IN 46240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Indianapolis IN 08/1999 Present
Charles Schwab Bank Indianapolis IN 02/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-24
S63 Uniform Securities Agent State Law Examination 2000-02-01
  • S66 Uniform Combined State Law Examination
    2002-09-24
  • S63 Uniform Securities Agent State Law Examination
    2000-02-01
Other Names
  • Courtney D Milk
  • Courtney Dawn Mills
  • Courtney Mills Lockwood

View on SEC IAPD

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VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

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