Daniel Alexander Lockwood

Current Employers

Employment History

• 07/2009 → 11/2017
  Waddell & Reed, Inc.
  Chicago, IL
• 11/2017 → 12/2024
  Raymond James & Associates, Inc
  Winnetka, IL
• 12/2024 → Present
  Steward Partners Global Advisory, Llc
  Winnetka, IL
• 12/2024 → Present
  Steward Partners Investment Solutions, Llc
  Winnetka, IL
• 12/2024 → Present
  Steward Partners Investment Advisory, Llc
  Winnetka, IL

Previous Registrations

• 2017-11-29 → 2024-12-09
  Raymond James & Associates, Inc.
  Chicago, IL
  Winnetka, IL
  Chicago, IL
• 2009-08-05 → 2017-12-05
  Waddell & Reed
  Chicago, IL
  Savage, MN
  Savage, MN
• 1999-10-21 → 2009-07-13
  Ameriprise Financial Services, Llc
  Chicago, IL
  Chicago, IL
  Richmond, VA
  Chicago, IL

Other Businesses

1) Name of Business: Orlock Investments, LLC; City/State: Wilmette, IL; Nature of the Business: Real Estate for Rent/Lease; Position/Title: Owner/Partner; Investment Related: Yes; Start Date: 11/05/2017; Hours per month devoted to this business: 4-10; Hours per month devoted to this business during trading hours: <4; Description of duties: Finding investment properties, purchasing real estate to rehab for sale or to generate rental income. 2) Name of Business: Foundation for Heating and Speech Resources; City/State: Chicago, IL; Nature of the Business: Non-Profit; Position/Title: Board Member; Not Investment Related: Yes - Start Date: 11/17/2019; Hours per month devoted to this business: 10 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Budgeting, reporting and planning along with executive director and committee members. Approval and review of expenses but I will have no authority to sign checks or access bank accounts. All investments are handled by a third party with their discretion.

Exams

• S66 Uniform Combined State Law Examination
  1999-10-06

Designations

Other Names

• Daniel Alexander Lockwood
• Dan Lockwood
• Daniel Lockwood