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403 N. Parkway Ste. 101, Jackson, TN 38305 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-03-13 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | New Albany | IN | 10/2007 | 10/2017 |
| Royal Alliance | New Albany | IN | 10/2017 | 02/2021 |
| Silver Oak Securities Inc | Jackson | TN | 02/2021 | Present |
| Lockmund Financial Group | New Albany | IN | 07/1999 | Present |
| Thomas G. Lockmund, Llc | New Albany | IN | 01/2003 | Present |
1. Lockmund Financial Group, 1501 State Street New Albany IN 47150, President, 7/1/1999, 40 hours total, 20 during trading hours, DBA Only.-- 2. THOMAS G. LOCKMUND, LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2003 ADDRESS: 1501 State Street, New Albany IN 47150, United States DESCRIPTION: Marketing and sales of fixed annuities and securities
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-05-18 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-19 |
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