Unclaimed Profile

Katherine Rose Lock

GRACIAN CAPITAL LLC·SOLANA BEACH, California

Series 65Clean record13 years registeredGRACIAN CAPITAL LLC

380 STEVENS AVENUE, SOLANA BEACH, CA 92075CRD# 6124511Firm CRD# 328687

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Katherine Rose Lock · SOLANA BEACH, CA

Registration

CRD #6124511 · GRACIAN CAPITAL LLC · 13 years registered

Brand Profile

Not yet started

Career History

GRACIAN CAPITAL LLC

May 2025 – present

GRACIAN CAPITAL LLC

Jan 2013 – Jun 2021

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · January 3, 2013

Years registered · 13

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GRACIAN CAPITAL LLC

CRD 328687 · SEC 801-129023

AUM

$111M

Regulatory assets under management

Employees

2 client accounts

Services offered by GRACIAN CAPITAL LLC

Per Form ADV

Pension consulting

Other

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at GRACIAN CAPITAL LLC →

Introduction

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Frequently Asked Questions

What services does Katherine Rose Lock offer?

Katherine Rose Lock specializes in Retirement Planning. Contact their office in SOLANA BEACH, California for a consultation.

What are Katherine Rose Lock's credentials?

Katherine Rose Lock is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Katherine Rose Lock located?

Katherine Rose Lock is based in SOLANA BEACH, California, working with GRACIAN CAPITAL LLC. Their office serves clients in the SOLANA BEACH metropolitan area and surrounding communities.

How does Katherine Rose Lock charge for services?

Katherine Rose Lock's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GRACIAN CAPITAL LLC?

GRACIAN CAPITAL LLC has approximately 3 employees and manages $111M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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