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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

WAYNE EDWARD LOCKWOOD

Advisor at ZACKS INVESTMENT MANAGEMENT, INC.

Union, WA | CHICAGO, IL

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Search this name across graphsid dfx:ria:af5295a5-92b2-a17e-932b-9138c39b0207

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ZACKS INVESTMENT MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 16, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 16, 1996
First registration: Jun 11, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2385472

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ZACKS INVESTMENT MANAGEMENT, INC.	Mixed wealth	Oct 16, 2006	n/a	yes	CHICAGO, IL\|Union, WA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 11, 2006	Nov 2, 2006	no	SEATTLE, WA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jan 4, 2006	Mar 20, 2006	no	TACOMA, WA	Previous registration
MERRIMAN, LLC	Former SEC adviser	Jun 1, 2005	Aug 29, 2005	no	SEATTLE, WA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jun 11, 2001	Jun 2, 2005	no	FEDERAL WAY, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	ZACKS INVESTMENT MANAGEMENT, INC.	Nov 2, 2006	Oct 16, 2006	-17	Firm change	Other
CETERA ADVISOR NETWORKS LLC	MML INVESTORS SERVICES, LLC	Mar 20, 2006	May 11, 2006	52	Firm change	Other
MERRIMAN, LLC	CETERA ADVISOR NETWORKS LLC	Aug 29, 2005	Jan 4, 2006	128	Firm change	Other
CETERA ADVISOR NETWORKS LLC	MERRIMAN, LLC	Jun 2, 2005	Jun 1, 2005	-1	Firm change	Other

Relationships

Registered with (4)

→ ZACKS INVESTMENT MANAGEMENT, INC.Registered adviserregistration: current employment
Oct 16, 2006 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 11, 2006 to Nov 2, 2006factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jan 4, 2006 to Mar 20, 2006factForm ADV
→ MERRIMAN, LLCRegistered adviserregistration: previous registration
Jun 1, 2005 to Aug 29, 2005factForm ADV

Dated events

No dated event names this entity yet.