Inactive

Robert Alan Lockery

Ganim Private Wealth

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Current Employers

Ganim Private Wealth

2 Enterprise Drive Suite 305, Shelton, CT 06484 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2017-07-26

CT RA
APPROVED

Since 2017-07-26

Branch Locations

2 Enterprise Drive Suite 305, Shelton, CT 06484 • 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
Kestra Investment Services, Llc	Austin	TX	09/2016	02/2018
Ganim Financial	Bridgeport	CT	08/2016	Present
Gfs Wealth Management Advisors Inc. Dba Ganim Financial	Bridgeport	CT	07/2017	Present

09/2016 → 02/2018

Kestra Investment Services, Llc

Austin, TX
08/2016 → Present

Ganim Financial

Bridgeport, CT
07/2017 → Present

Gfs Wealth Management Advisors Inc. Dba Ganim Financial

Bridgeport, CT

Previous Registrations

2016-09-19 → 2017-07-26

Kestra Advisory Services, Llc

Austin, TX
2015-08-31 → 2016-09-07

Mml Investors Services, Llc

Hamden, CT

Hamden, CT
2013-05-31 → 2015-07-23

Park Avenue Securities Llc

New Haven, CT
2011-10-11 → 2012-11-20

Equitable Advisors, Llc

Milford, CT
2011-01-20 → 2011-08-19

Morgan Stanley

New Haven, CT

New Haven, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-01-18
S63	Uniform Securities Agent State Law Examination	1996-01-23

S66 Uniform Combined State Law Examination

2011-01-18
S63 Uniform Securities Agent State Law Examination

1996-01-23

Other Names

Robert A Lockery
Robert A Lockery
Robert Alan Lockery
Robert Alan Lockery

View on SEC IAPD

Other Firms

MML INVESTORS SERVICES, LLC

RB CAPITAL MANAGEMENT, LLC

WRIGHT INVESTORS SERVICE INC

THE WINTHROP CORPORATION

WRIGHT PRIVATE ASSET MANAGEMENT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

JOSEPH JOHN TODICE

CHARLES MELFORD HITE

JOHN MEAD FOREMAN

ANDREW DOMINICK ROSELLI

DANIELA GERHARD

CHRISTOPHER HOLLEY

BRIAN MICHAEL WARD

Other Offices

MML INVESTORS SERVICES, LLC · SHELTON, CT

RB CAPITAL MANAGEMENT, LLC · Shelton, CT

WRIGHT INVESTORS SERVICE INC · SHELTON, CT

THE WINTHROP CORPORATION · SHELTON, CT

WRIGHT PRIVATE ASSET MANAGEMENT LLC · SHELTON, CT

AMERIPRISE FINANCIAL SERVICES, LLC · SHELTON, CT

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · SHELTON, CT

AMERIPRISE FINANCIAL SERVICES, LLC · Shelton, CT

More in Shelton, CT

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