Philip Stephen Lockwood

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 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:

Current Employers

Spc

300 Parkland Plaza, Ann Arbor, MI 48103 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2012-06-01

IA RA
APPROVED

Since 2012-06-01

Branch Locations

1501 Ingersoll Ave. Ste. 201, Des Moines, IA 50309 • 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
Parkland Securities, Llc	Ann Arbor	MI	08/2014	Present

08/2014 → Present

Parkland Securities, Llc

Ann Arbor, MI

Other Businesses

1. CONTRACTED WITH VARIOUS LIFE, ANNUITY, AND HEALTH COMPANIES. 2. DBA - Lockwood Financial Strategies LLC, offering investments and life insurance. 3. Divorce planning advisor - work with individuals going through divorce to help understand assets/budgets, dividing pensions/retirement plans, reviewing statements and producing cash flow statements. Start date: 8/20/24, approx. 5 hrs/mo. INV REL: N 4. Volunteer basketball coach for son's AAU team. Also conduct skills training for basketball team in the West Des Moines, IA area. Start date: May 2025, approx. 6 hrs/mo. INV REL: N

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-04-08

S66 Uniform Combined State Law Examination

2009-04-08

Other Names

Phillip Lockwood
Phillip Stephen Lockwood

View on SEC IAPD