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RIA / WealthAdvisorChartered Financial Consultant34 years in industry

LISA LYNN LOCKERMAN

Advisor at LOCKERMAN FINANCIAL GROUP, INC

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:eb0842a6-9fb1-0bf5-9b41-29a8136a4874

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 19, 1998 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: LOCKERMAN FINANCIAL GROUP, INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Aug 20, 1992
First registration: Oct 19, 1998
Dual registered: no
IAPD individual key: 2209271

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
LOCKERMAN FINANCIAL GROUP, INC	Independent wealth	Nov 8, 2021	n/a	yes	NEWPORT BEACH, CA	Current employment
NEWPORT WEALTH STRATEGIES, INC.	Former SEC adviser	Feb 8, 2012	Jan 23, 2013	no	IRVINE, CA	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 28, 2008	Nov 23, 2021	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Oct 19, 1998	Jan 29, 2008	no	IRVINE, CA\|IRVINE, CA	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	NEWPORT WEALTH STRATEGIES, INC.	Nov 23, 2021	Feb 8, 2012	-3,576	Firm change after gap	Other
NEWPORT WEALTH STRATEGIES, INC.	LOCKERMAN FINANCIAL GROUP, INC	Jan 23, 2013	Nov 8, 2021	3,211	Firm change after gap	Other
OSAIC FA, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jan 29, 2008	Jan 28, 2008	-1	Firm change	Other

Relationships

Registered with (4)

→ LOCKERMAN FINANCIAL GROUP, INCRegistered adviserregistration: current employment
Nov 8, 2021 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 28, 2008 to Nov 23, 2021factForm ADV
→ NEWPORT WEALTH STRATEGIES, INC.Registered adviserregistration: previous registration
Feb 8, 2012 to Jan 23, 2013factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Oct 19, 1998 to Jan 29, 2008factForm ADV

Dated events

No dated event names this entity yet.