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Joseph John Locke

JOSEPH J. LOCKE & COMPANY, LTD.·FOREST PARK, Illinois
Series 1, Series 6, Series 7, Series 63, Series 65Clean record26 years registeredJOSEPH J. LOCKE & COMPANY, LTD.
7355 W. MADISON ST., FOREST PARK, IL 60130CRD# 311375Firm CRD# 115127

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Joseph John Locke · FOREST PARK, IL
Registration
CRD #311375 · JOSEPH J. LOCKE & COMPANY, LTD. · 26 years registered
Brand Profile
Not yet started
01

Career History

CIBC PRIVATE WEALTH ADVISORS, INC.
Sep 2017 – present
GENEVA ADVISORS, LLC
Jul 2016 – Sep 2017
CHICAGO, IL
JOSEPH J. LOCKE & COMPANY, LTD.
Aug 1999 – Dec 2016
FOREST PARK, IL
02

Registrations & Exams

FINRA examinations passed
Series 1
Series 6
Series 7
Series 63
Series 65
Registration record
First registered · August 23, 1999
Years registered · 26
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
JOSEPH J. LOCKE & COMPANY, LTD.
CRD 115127 · SEC 801-71592
AUM
$39M
Regulatory assets under management
Employees
1
188 client accounts
Services offered by JOSEPH J. LOCKE & COMPANY, LTD.
Per Form ADV
Financial planning
Portfolio management (individuals)
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at JOSEPH J. LOCKE & COMPANY, LTD. →
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05

Frequently Asked Questions

What services does Joseph John Locke offer?
Joseph John Locke specializes in Financial Planning, Investment Management. Contact their office in FOREST PARK, Illinois for a consultation.
What are Joseph John Locke's credentials?
Joseph John Locke is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Joseph John Locke located?
Joseph John Locke is based in FOREST PARK, Illinois, working with JOSEPH J. LOCKE & COMPANY, LTD.. Their office serves clients in the FOREST PARK metropolitan area and surrounding communities.
How does Joseph John Locke charge for services?
Joseph John Locke's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is JOSEPH J. LOCKE & COMPANY, LTD.?
JOSEPH J. LOCKE & COMPANY, LTD. has approximately 1 employees and manages $39M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in Illinois
CHICAGO (1395)NAPERVILLE (72)DOWNERS GROVE (62)OAK BROOK (56)NORTHBROOK (52)WHEATON (44)DEERFIELD (42)ROCKFORD (36)EVANSTON (34)SPRINGFIELD (34)
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