Adam S Locke

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2009 → 09/2022
  Citizens Securities, Inc.
  Westwood, MA
• 09/2022 → 06/2024
  Commonwealth Financial Network
  Waltham, MA
• 06/2024 → Present
  Raymond James & Associates, Inc
  Dover, MA
• 08/2024 → Present
  Raymond James Financial Services, Inc
  Dover, MA

Previous Registrations

• 2023-01-18 → 2024-02-06
  Commonwealth Financial Network
  Waltham, MA
• 2009-09-24 → 2022-09-01
  Citizens Securities, Inc.
  Canton, MA
  Westwood, MA
• 2004-07-19 → 2008-09-03
  Lpl Financial Llc
  Dovert, MA
  Boston, MA
  Fort Mill, SC
  Boston, MA

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-05
• S63 Uniform Securities Agent State Law Examination
  1995-04-10

Other Names

• Adam S Locke
• Adam Steven Locke