LOCKER FINANCIAL SERVICES, LLC
Adviser information for LOCKER FINANCIAL SERVICES, LLC last updated from Form ADV on January 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 362 | $157.0M |
| Non-Discretionary | 0 | $0 |
| Total | 362 | $157.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $46.1M |
| HNW Individuals | 46 | $111.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 21 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-118288 |
|---|---|
| SEC ERA File Number | 801-118288 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120900 |
| Legal Entity Identifier | None |
Principal Office
3 CLARIDGE DRIVESUITE 2
VERONA
NJ
United States
Monday - Friday, 9:00 AM TO 4:30 PM
Tel: 973-256-2555, Fax: 973-807-1616
Websites
Chief Compliance Officer
ANDREW CHAN
MANAGING MEMBER
3 CLARIDGE DRIVE
SUITE 2
VERONA
NJ
United States
Tel:
973-256-2555
Fax:
973-807-1616
A*****@******************M
(Full email address available in API data)
Regulatory Contact
LAUREN LOCKER
MANAGING MEMBER
3 CLARIDGE DRIVE
SUITE 2
VERONA
NJ
United States
Tel:
973-256-2555
Fax:
973-807-1616
L*****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOCKER, LAUREN | Individual | – | MANAGING MEMBER | 02/2000 | 50-75% |
| CHAN, ANDREW | Individual | – | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | 01/2023 | 50-75% |