Douglas Edward Lockwood

Current Employers

Cx Institutional, Llc

200 East 7Th Street, Auburn, IN 46706 • United States

Current Registrations

Authority	Category	Status	Date
IN	RA	APPROVED	2018-03-29

IN RA
APPROVED

Since 2018-03-29

Branch Locations

200 East 7Th Street, Auburn, IN 46706 • 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
Lpl Financial Llc	Auburn	IN	10/2005	09/2020
Hefty Wealth Partners, Inc. F/K/A Cornerstone Wealth Management	Auburn	IN	06/2010	03/2018
Cx Institutional, Llc	Auburn	IN	03/2018	Present

10/2005 → 09/2020

Lpl Financial Llc

Auburn, IN
06/2010 → 03/2018

Hefty Wealth Partners, Inc. F/K/A Cornerstone Wealth Management

Auburn, IN
03/2018 → Present

Cx Institutional, Llc

Auburn, IN

Previous Registrations

2010-07-26 → 2018-08-15

Hefty Wealth Partners

Auburn, IN
2005-10-03 → 2010-09-17

Lpl Financial Llc

Auburn, IN

Ft. Wayne, IN

Auburn, IN
2001-01-01 → 2005-11-30

Ami Investment Management Inc

Kendallville, IN
2002-12-21 → 2002-12-31

Ami Investment Management Inc

Kendallville, IN

Other Businesses

12/5/2018 - Vespro - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 10/01/2018 - 1 Hour Per Month During Securities Trading - Vestpro is an owner of CX institutional LLC for tax and legal purposes only.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-10-27
S63	Uniform Securities Agent State Law Examination	1988-10-26

S66 Uniform Combined State Law Examination

2005-10-27
S63 Uniform Securities Agent State Law Examination

1988-10-26

Designations

Other Names

Doug Lockwood
Douglas E Lockwood
Douglas Edward Lockwood

View on SEC IAPD