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Sean Lockwood

J.P. Morgan Securities LLC

Antelope, CA

Lincoln, CA

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-07-11
CA RA APPROVED 2017-07-26
  • TX RA
    APPROVED
    Since 2018-07-11
  • CA RA
    APPROVED
    Since 2017-07-26

Branch Locations

4117 Elverta Rd., Antelope, CA 95843 • United States

45 Lincoln Blvd, Lincoln, CA 95648 • 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
Apfa Roseville CA 12/2008 06/2017
Sagepoint Financial, Inc. Ashland OR 03/2016 06/2017
J. P. Morgan Securities Llc Sacramento CA 07/2017 02/2019
J.P. Morgan Securities Llc Lincoln CA 02/2019 Present
Jpmorgan Chase Bank, N.A. Lincoln CA 02/2019 Present
  • 12/2008 → 06/2017
    Apfa
    Roseville, CA
  • 03/2016 → 06/2017
    Sagepoint Financial, Inc.
    Ashland, OR
  • 07/2017 → 02/2019
    J. P. Morgan Securities Llc
    Sacramento, CA
  • 02/2019 → Present
    J.P. Morgan Securities Llc
    Lincoln, CA
  • 02/2019 → Present
    Jpmorgan Chase Bank, N.A.
    Lincoln, CA
Previous Registrations
  • 2017-06-20 → 2017-07-06
    Osaic Services, Inc.
    Ashland, OR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-04
S63 Uniform Securities Agent State Law Examination 2016-12-03
  • S65 Uniform Investment Adviser Law Examination
    2017-05-04
  • S63 Uniform Securities Agent State Law Examination
    2016-12-03
Other Names
  • Sean Alan Lockwood

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · SACRAMENTO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROSEVILLE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SACRAMENTO, CA
J.P. MORGAN SECURITIES LLC · Sacramento, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Roseville, CA
LPL FINANCIAL LLC · SACRAMENTO, CA
OSAIC WEALTH, INC. · SACRAMENTO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROSEVILLE, CA

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