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Keith Lockwood

Morgan Stanley

Olympia, WA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-24
WA RA APPROVED 2019-04-08
  • TX RA
    APPROVED_RES
    Since 2020-02-24
  • WA RA
    APPROVED
    Since 2019-04-08

Branch Locations

724 Columbia Street Northwest Suite 350, Olympia, WA 98501 • 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
Capital One Sharebuilder, Inc. Seattle WA 12/2009 09/2017
Morgan Stanley Olympia WA 04/2019 Present
Unemployed Seattle WA 09/2017 08/2018
Washington State Investment Board Olympia WA 08/2018 11/2018
Unemployed Tumwater WA 11/2018 03/2019
Morgan Stanley Private Bank, N.A. New York NY 04/2019 Present
  • 12/2009 → 09/2017
    Capital One Sharebuilder, Inc.
    Seattle, WA
  • 04/2019 → Present
    Morgan Stanley
    Olympia, WA
  • 09/2017 → 08/2018
    Unemployed
    Seattle, WA
  • 08/2018 → 11/2018
    Washington State Investment Board
    Olympia, WA
  • 11/2018 → 03/2019
    Unemployed
    Tumwater, WA
  • 04/2019 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2012-02-09 → 2017-09-08
    Capital One Advisors, Llc
    Mclean, VA
  • 2004-06-14 → 2006-07-07
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-04-26
S66 Uniform Combined State Law Examination 2000-12-14
  • S63 Uniform Securities Agent State Law Examination
    2019-04-26
  • S66 Uniform Combined State Law Examination
    2000-12-14
Other Names
  • Keith A Lockwood
  • Keith Andrew Lockwood

View on SEC IAPD

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Other Offices

&PARTNERS · Olympia, WA
TRINITY CAPITAL MANAGEMENT, LLC · Olympia, WA
BYRNE & COMPANY WEALTH MANAGEMENT, LLC · OLYMPIA, WA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OLYMPIA, WA
LPL FINANCIAL LLC · OLYMPIA, WA
GK CAPITAL PARTNERS · OLYMPIA, WA
EDWARD JONES · OLYMPIA, WA
APELLA WEALTH · Olympia, WA

More in Olympia, WA

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