Brian David Lockhart

Current Employers

Employment History

• 11/2006 → 01/2020
  Peak Capital Management Llc.
  Colorado Springs, CO
• 02/2020 → Present
  Shepherd Kaplan Krochuk Llc
  Boston, MA
• 02/2020 → Present
  Peak Capital Management Llc.
  Greenwood Village, CO

Previous Registrations

• 2005-03-28 → 2007-06-15
  Cambridge Investment Research Advisors, Inc.
  Colorado Springs, CO
  Colorado Springs, CO
• 2005-01-03 → 2005-03-28
  Cambridge Investment Research, Inc.
  Colorado Springs, CO
• 1997-09-12 → 2005-01-07
  Ameriprise Financial Services, Llc
  Colorado Springs, CO

Other Businesses

Through his ownership through Peak Capital Management, LLC, Mr. Lockhart is an indirect owner of PCM Tax Lien Fund, LP, a private fund that invests in tax liens. Peak Capital Management, LLC serves as general partner and investment manager of PCM Tax Lien Fund, LP and is no longer open to new investors. This relationship began on March 1, 2015. Mr. Lockhart spends approx. 10 hours per month, during securities trading hours, devoted to duties related to PCM Tax Lien Fund, LP. Clinton/Costilla LLC; Limited Partner; 9250 E. Costilla Ave., Greenwood Village, Colorado 80112, 01/2017-Present; Real estate/Non-investment related activity; less than 2% of time, 0 during securities trading hours. Newdea, not investment related Address: Greenwood Village, CO, Nature: economic development in developing world Position- Director (unpaid) Start date: 2018 Hours: less then 3 hours per month Duties: strategic leadership, no specific role NanoDX, Inc. not investment related Address: Southborough, MA, Nature: medical devices Position- Board Member (unpaid) Start date: 2021 Hours: less then 3 hours per month Duties: strategic leadership, no specific role

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-07-06