AL
Alan D. Lockwood
STRATEGIC ADVISERS LLC
PORTAGE, MI
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CRD#: 5993686
AL
Professional summary
Alan David Lockwood, CFP® is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Portage, Michigan and FIDELITY BROKERAGE SERVICES LLC located in Ann Arbor, Michigan.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Alan has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan David Lockwood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2021
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 500 E. Eisenhower Pkwy Ste 100, Ann Arbor, MI 48108RIA
CRD#: 104555
PORTAGE, MI
Current
January 20, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 500 E. Eisenhower Pkwy, Ste 100, Ann Arbor, MI 48108BD
CRD#: 7784
Ann Arbor, MI
Past
January 28, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PORTAGE, MI
Past
July 13, 2018 - October 6, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
October 13, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
PORTAGE, MI
Past
May 15, 2015 - September 24, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
July 26, 2012 - May 5, 2015
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
PLAINWELL, MI
Past
February 29, 2012 - July 5, 2012
EDWARD JONES
RIA
CRD#: 250
PORTAGE, MI
Past
December 14, 2011 - July 5, 2012
EDWARD JONES
BD
CRD#: 250
PORTAGE, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/25/2022)
RR
Alaska(1/25/2022)
RR
Arizona(1/25/2022)
RR
Arkansas(1/25/2022)
RR
California(1/25/2022)
RR
Colorado(1/25/2022)
RR
Connecticut(1/25/2022)
RR
Delaware(1/25/2022)
RR
District of Columbia(1/25/2022)
RR
Florida(1/25/2022)
RR
Georgia(1/25/2022)
RR
Hawaii(1/25/2022)
RR
Idaho(1/25/2022)
RR
Illinois(1/25/2022)
RR
Indiana(1/25/2022)
RR
Iowa(1/25/2022)
RR
Kansas(1/25/2022)
RR
Kentucky(1/25/2022)
RR
Louisiana(1/25/2022)
RR
Maine(1/25/2022)
RR
Maryland(1/25/2022)
RR
Massachusetts(1/25/2022)
RR
Michigan(1/25/2022)
IAR
Michigan(3/31/2025)
RR
Minnesota(1/25/2022)
RR
Mississippi(1/25/2022)
RR
Missouri(1/25/2022)
RR
Montana(1/25/2022)
RR
Nebraska(1/25/2022)
RR
Nevada(1/25/2022)
RR
New Hampshire(1/25/2022)
RR
New Jersey(1/25/2022)
RR
New Mexico(1/25/2022)
RR
New York(1/25/2022)
RR
North Carolina(1/25/2022)
RR
North Dakota(1/25/2022)
RR
Ohio(1/25/2022)
RR
Oklahoma(1/25/2022)
RR
Oregon(1/25/2022)
RR
Pennsylvania(1/25/2022)
RR
Puerto Rico(1/25/2022)
RR
Rhode Island(1/25/2022)
RR
South Carolina(1/25/2022)
RR
South Dakota(1/25/2022)
RR
Tennessee(1/25/2022)
RR
Texas(1/25/2022)
IAR
Texas(3/31/2025)
RR
Utah(1/25/2022)
RR
Vermont(1/25/2022)
RR
Virgin Islands(1/25/2022)
RR
Virginia(1/25/2022)
RR
Washington(1/25/2022)
RR
West Virginia(1/25/2022)
RR
Wisconsin(1/25/2022)
RR
Wyoming(1/25/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
