Wayne Edward Lockwood

Zacks Investment Management, Inc.

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Current Employers

Zacks Investment Management, Inc.

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2008-09-17
WA	RA	APPROVED	2006-10-16

HI RA
APPROVED

Since 2008-09-17
WA RA
APPROVED

Since 2006-10-16

Branch Locations

Union, WA • United States

101 N. Wacker Drive Suite 1500, Chicago, IL 60606 • 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

Organization	City	State	From	To
Mml Investors Services, Inc.	Seattle	WA	04/2006	Present
Zacks Investment Management	Chicago	IL	10/2006	Present
Zacks & Company	Chicago	IL	12/2006	Present

04/2006 → Present

Mml Investors Services, Inc.

Seattle, WA
10/2006 → Present

Zacks Investment Management

Chicago, IL
12/2006 → Present

Zacks & Company

Chicago, IL

Previous Registrations

2006-05-11 → 2006-11-02

Mml Investors Services, Llc

Seattle, WA
2006-01-04 → 2006-03-20

Cetera Wealth Services, Llc

Tacoma, WA
2005-06-01 → 2005-08-29

Merriman, Llc

Seattle, WA
2001-06-11 → 2005-06-02

Cetera Wealth Services, Llc

Federal Way, WA

Other Businesses

LICENSED INSURANCE AGENT IN WA AND CA. NO LONGER ACTIVELY SOLICITING INSURANCE SALES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-30
S63	Uniform Securities Agent State Law Examination	1996-08-16

S65 Uniform Investment Adviser Law Examination

1997-04-30
S63 Uniform Securities Agent State Law Examination

1996-08-16

View on SEC IAPD

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