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
William Thomas Lockwood
Certified Financial Planner
Feed of 09/15/2026
Also filed as William Lockwood
At current firm
5 y
since Jul 21, 2021
In the industry
19 y
since Oct 4, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 21, 2021 · Ellisville, Mo
- Waddell & Reed formerDec 4, 2020 to Jul 21, 2021 · Ellisville, Mo
- Woodbury Financial Services, Inc. formerMay 31, 2011 to Dec 8, 2020 · Ellisville, Mo
- New England Securities Corporation formerApr 23, 2009 to Jun 6, 2011 · St. Louis, Mo
- Edward Jones national BDOct 27, 2006 to Apr 6, 2009 · St Peters, Mo
Moves
a registration end followed by a registration begin elsewhere
- Waddell & Reed to LPL Financial LLCleft Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- Woodbury Financial Services, Inc. to Waddell & Reedleft Dec 8, 2020, registered Dec 4, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- New England Securities Corporation to Woodbury Financial Services, Inc.left Jun 6, 2011, registered May 31, 2011 (-6 days) · Other
- Edward Jones to New England Securities Corporationleft Apr 6, 2009, registered Apr 23, 2009 (17 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address