DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Stephen Michael Locko
Feed of 09/14/2026
At current firm
17 y
since Mar 17, 2009
In the industry
39 y
since Jun 1, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Gwn Securities Inc. BD affiliated currentsince Mar 17, 2009 · Carlsbad, Ca
- Osaic Fs, Inc. formerApr 13, 2006 to Feb 2, 2009 · Encinitas, Ca
- Greenbook Investment Management, Inc. unclassifiedSep 14, 2004 to Jan 4, 2005 · San Diego , Ca
- Xelan Financial Planning, Inc. unclassifiedJan 28, 2003 to May 25, 2004 · San Diego, Ca
- Xelan Investment Services, Inc. unclassifiedMay 30, 2002 to Jan 28, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Osaic Fs, Inc. to Gwn Securities Inc.left Feb 2, 2009, registered Mar 17, 2009 (43 days) · Other
- Greenbook Investment Management, Inc. to Osaic Fs, Inc.left Jan 4, 2005, registered Apr 13, 2006 (464 days) · Other
- Xelan Financial Planning, Inc. to Greenbook Investment Management, Inc.left May 25, 2004, registered Sep 14, 2004 (112 days) · Other
- Xelan Investment Services, Inc. to Xelan Financial Planning, Inc.left Jan 28, 2003, registered Jan 28, 2003 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address