Brian Joseph Lockett

Employer firm

Comprehensive Wealth Management CRD 116958

$338M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Educational seminars
CONSULTING

From the firm’s Form ADV. Read the guides:

Current Employers

Comprehensive Wealth Management

3500 188Th St Sw Suite 102, Lynnwood, WA 98037-4757 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2009-06-08
OR	RA	APPROVED	2009-04-28
ID	RA	APPROVED	2009-03-25
CA	RA	APPROVED	2009-03-23
WA	RA	APPROVED	2008-03-28

CO RA
APPROVED

Since 2009-06-08
OR RA
APPROVED

Since 2009-04-28
ID RA
APPROVED

Since 2009-03-25
CA RA
APPROVED

Since 2009-03-23
WA RA
APPROVED

Since 2008-03-28

Branch Locations

3500 188Th St Sw Suite 102, Lynnwood, WA 98037-4757 • United States

Disclosures

2 disclosure categories 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.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Comprehensive Wealth Management, Llc	Lynnwood	WA	01/2002	Present
Independent Finacial Group Llc	Lynwood	WA	11/2013	Present

01/2002 → Present

Comprehensive Wealth Management, Llc

Lynnwood, WA
11/2013 → Present

Independent Finacial Group Llc

Lynwood, WA

Previous Registrations

2004-06-22 → 2008-04-28

Geneos Wealth Management, Inc.

Lynnwood, WA

Lynnwood, WA

Englewood, CO

Other Businesses

(1) WASHINGTON STATE UNIVERSITY FOUNDATION POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2014 ADDRESS: 23013 3rd Ave SE, Bothell WA 98021, United States DESCRIPTION: MEMBER OF WASHINGTON STATE UNIVERSITY FOUNDATION BOARD OF DIRECTORS (2) B&S LOCKETT, INC POSITION: Officer/Director NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/27/2006 ADDRESS: 3500-188th Street Sw, Suite 102, Lynnwood WA 98037, United States DESCRIPTION: 50% BUSINESS OWNER OF B&S LOCKETT, INC (3) COMPREHENSIVE WEALTH MANAGEMENT, LLC POSITION: VP, Lead Advisor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 150 START DATE: 01/02/2002 ADDRESS: 3500-188th Street Sw, Suite 102, Lynnwood WA 98037, United States DESCRIPTION: OWNER OF COMPREHENSIVE WEALTH MANAGEMENT, LLC A REGISTERED INVESTMENT ADVISOR OFFERING ADVISORY SERVICES (4) ASSOCIATION OF FINANCIAL EDUCATORS POSITION: Volunteer NATURE: Teaching/Coaching INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 02/24/2023 ADDRESS: WA 12345, United States DESCRIPTION: Workshops focused on financial topics.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-21

S66 Uniform Combined State Law Examination

2004-06-21

Designations

Certified Financial Planner

Other Names

Brian J. Lockett

View on SEC IAPD