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RIA / WealthAdvisor21 years in industry

DAVID SAMUEL LOCKMAN

Advisor at NEWEDGE ADVISORS

NEW ORLEANS, LA | Cleveland, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 10, 2005 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: NEWEDGE ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 10, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 4, 2011
First registration: Jun 10, 2005
Dual registered: no
Other names: DAVID LOCKMAN|DAVE S LOCKMAN|DAVE LOCKMAN|DAVID S LOCKMAN
IAPD individual key: 4450854

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
NEWEDGE ADVISORS	Bd affiliated wealth	Nov 1, 2021	n/a	yes	Cleveland, OH\|NEW ORLEANS, LA	Current employment
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Oct 23, 2019	Nov 1, 2021	no	PITTSBURGH, PA\|INDEPENDENCE, OH	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Feb 1, 2017	Aug 12, 2019	no	BROADVIEW HEIGHTS, OH\|PARMA HEIGHTS, OH\|CLEVELAND, OH\|GARFIELD HEIGHTS, OH\|PARMA, OH\|CLEVELAND, OH\|PARMA, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 18, 2013	Feb 1, 2017	no	CLEVELAND, OH\|CLEVELAND, OH\|PARMA HEIGHTS, OH\|BROADVIEW HEIGHTS, OH\|BROADVIEW HEIGHTS, OH\|PARMA, OH\|GARFIELD HEIGHTS, OH\|CLEVELAND, OH\|PARMA, OH\|GARFIELD HEIGHTS, OH	Previous registration
FIRSTMERIT ADVISORS, INC.	n/a	Feb 6, 2012	Sep 18, 2013	no	BROADVIEW HEIGHTS, OH	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Apr 27, 2011	Jan 30, 2012	no	MAYFIELD HEIGHTS, OH	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 10, 2005	Dec 5, 2009	no	BROADVIEW HEIGHTS, OH\|BROADVIEW HTS., OH	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
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	NEWEDGE ADVISORS	Nov 1, 2021	Nov 1, 2021	0	Bulk transfer	Ibd to ibd
HUNTINGTON FINANCIAL ADVISORS	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Aug 12, 2019	Oct 23, 2019	72	Firm change	Ibd to ibd
LPL FINANCIAL LLC	HUNTINGTON FINANCIAL ADVISORS	Feb 1, 2017	Feb 1, 2017	0	Bulk transfer	Other
FIRSTMERIT ADVISORS, INC.	LPL FINANCIAL LLC	Sep 18, 2013	Sep 18, 2013	0	Bulk transfer	Other
PRUCO SECURITIES, LLC	FIRSTMERIT ADVISORS, INC.	Jan 30, 2012	Feb 6, 2012	7	Firm change	Other
MSI FINANCIAL SERVICES, INC.	PRUCO SECURITIES, LLC	Dec 5, 2009	Apr 27, 2011	508	Firm change after gap	Other

Relationships

Registered with (7)

→ NEWEDGE ADVISORSRegistered adviserregistration: current employment
Nov 1, 2021 to presentfactForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 23, 2019 to Nov 1, 2021factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Feb 1, 2017 to Aug 12, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 18, 2013 to Feb 1, 2017factForm ADV
→ FIRSTMERIT ADVISORS, INC.Registered adviserregistration: previous registration
Feb 6, 2012 to Sep 18, 2013factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Apr 27, 2011 to Jan 30, 2012factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 10, 2005 to Dec 5, 2009factForm ADV

Dated events

No dated event names this entity yet.