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Frank Joseph Lockwood

Ubs Financial Services Inc.

Stamford, CT

Boca Raton, FL

Highland Beach, FL

Stamford, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-03-04
CT RA APPROVED 2010-08-18
TX RA APPROVED 2010-08-18
  • FL RA
    APPROVED
    Since 2020-03-04
  • CT RA
    APPROVED
    Since 2010-08-18
  • TX RA
    APPROVED
    Since 2010-08-18

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

Highland Beach, FL • United States

Stamford, CT • 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
Ubs Financial Services Inc Stamford CT 08/2010 Present
Previous Registrations
  • 2009-06-01 → 2010-08-30
    Morgan Stanley
    Greenwich, CT
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Greenwich, CT
  • 1991-08-30 → 2007-04-02
    Morgan Stanley Dw Inc.
    Greenwich, CT
    Greenwich, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-09-20
S63 Uniform Securities Agent State Law Examination 1990-07-09
  • S65 Uniform Investment Adviser Law Examination
    2007-09-20
  • S63 Uniform Securities Agent State Law Examination
    1990-07-09
Other Names
  • Frank J Lockwood

View on SEC IAPD

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COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
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