Reginald Lockett

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2024-06-25

WI RA
APPROVED

Since 2024-06-25

Branch Locations

Mequon, WI • United States

1055 Lpl Way, Fort Mill, SC 29715 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rausch Sturm, Llp	Broofield	WI	06/2019	08/2020
K-Force	Milwaukee	WI	05/2017	05/2019
Unemployed	Mequon	WI	02/2016	05/2017
Equitable Advisors, Llc	New York	NY	07/2020	11/2020
Sagepoint Financial, Inc.	Phoenix	AZ	09/2021	04/2024
Unemployed	Mequon	WI	11/2020	09/2021
Lpl Financial Llc	Fort Mill	SC	04/2024	Present

06/2019 → 08/2020

Rausch Sturm, Llp

Broofield, WI
05/2017 → 05/2019

K-Force

Milwaukee, WI
02/2016 → 05/2017

Unemployed

Mequon, WI
07/2020 → 11/2020

Equitable Advisors, Llc

New York, NY
09/2021 → 04/2024

Sagepoint Financial, Inc.

Phoenix, AZ
11/2020 → 09/2021

Unemployed

Mequon, WI
04/2024 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2023-08-31 → 2024-04-17

Osaic Wealth, Inc.

Scottsdale, AZ
2021-09-01 → 2023-09-29

Osaic Services, Inc.

Scottsdale, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-10-19

S66 Uniform Combined State Law Examination

2020-10-19

Other Names

Reggie Lockett
Reginald K Lockett
Reginald Lockett

View on SEC IAPD