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Katherine Rose Lock

Gracian Capital LLC

Rancho Santa Fe, CA

CRD 6124511

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Employer firm

Gracian Capital LLC CRD 328687

Reported services (Item 5G)

  • RESEARCH & CONSULTING SERVICES

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

Current Employers
Gracian Capital Llc

16236 San Dieguito Road Suite 2-24, Rancho Santa Fe, CA 92067 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-30
  • CA RA
    APPROVED
    Since 2025-05-30

Branch Locations

16236 San Dieguito Road Suite 2-24, Rancho Santa Fe, CA 92067 • 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
Gracian Capital Llc Solana Beach CA 06/2012 Present
Previous Registrations
  • 2013-01-03 → 2021-06-30
    Gracian Capital Llc
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-19
  • S65 Uniform Investment Adviser Law Examination
    2025-05-19
Other Names
  • Katherine R Lock
  • Katherine R Kliber

View on SEC IAPD

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