Unclaimed Profile

Brian David Lockhart

SHEPHERD KAPLAN KROCHUK, LLC·BOSTON, Massachusetts

Series 7, Series 24, Series 31, Series 6328 years registeredSHEPHERD KAPLAN KROCHUK, LLC

53 STATE STREET, BOSTON, MA 02109-2820CRD# 2508255Firm CRD# 127304

Profile Verification

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

Identity

Brian David Lockhart · BOSTON, MA

Registration

CRD #2508255 · SHEPHERD KAPLAN KROCHUK, LLC · 28 years registered

Brand Profile

Not yet started

Career History

PEAK CAPITAL MANAGEMENT, LLC

Jan 2007 – present

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Mar 2005 – Jun 2007

COLORADO SPRINGS, CO

CAMBRIDGE INVESTMENT RESERARCH, INC.

Jan 2005 – Mar 2005

COLORADO SPRINGS, CO

AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

Sep 1997 – Jan 2005

COLORADO SPRINGS, CO

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 31

Series 63

Registration record

First registered · September 12, 1997

Years registered · 28

Disclosure History

2018Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

SHEPHERD KAPLAN KROCHUK, LLC

CRD 127304 · SEC 801-62286

AUM

$8.9B

Regulatory assets under management

Employees

1,330 client accounts

Services offered by SHEPHERD KAPLAN KROCHUK, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SHEPHERD KAPLAN KROCHUK, LLC →

Introduction

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Frequently Asked Questions

What services does Brian David Lockhart offer?

Brian David Lockhart specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in BOSTON, Massachusetts for a consultation.

What are Brian David Lockhart's credentials?

Brian David Lockhart is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Brian David Lockhart located?

Brian David Lockhart is based in BOSTON, Massachusetts, working with SHEPHERD KAPLAN KROCHUK, LLC. Their office serves clients in the BOSTON metropolitan area and surrounding communities.

How does Brian David Lockhart charge for services?

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

How large is SHEPHERD KAPLAN KROCHUK, LLC?

SHEPHERD KAPLAN KROCHUK, LLC has approximately 38 employees and manages $8.9B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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