RIA Intelligence

LOCKER FINANCIAL SERVICES, LLC

CRD #120900 SEC #801-118288 VERONA, NJ 973-256-2555
SEC Registered
Total AUM
$181.7M
Discretionary
$181.7M
Employees
3
Clients
101
Accounts
364

Firm Details

Organization Type
Limited Liability Company
State of Formation
New Jersey
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Jan 31, 2025
Branch Offices
1

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
LOCKER, LAURENIMANAGING MEMBERE Control
LOCKER, LAURENIMANAGING MEMBERE Control
LOCKER, LAURENIMANAGING MEMBERE Control
LOCKER, LAURENIMANAGING MEMBERE Control
LOCKER, LAURENIMANAGING MEMBERE Control
LOCKER, LAURENIMANAGING MEMBERE Control
CHAN, ANDREWIMANAGING MEMBER / CHIEF COMPLIANCE OFFICERD Control
CHAN, ANDREWIMANAGING MEMBER / CHIEF COMPLIANCE OFFICERD Control
CHAN, ANDREWIMANAGING MEMBER / CHIEF COMPLIANCE OFFICERD Control
CHAN, ANDREWIMANAGING MEMBER / CHIEF COMPLIANCE OFFICERD Control
LOCKER, LAURENIMANAGING MEMBERD Control
LOCKER, LAURENIMANAGING MEMBERD Control
LOCKER, LAURENIMANAGING MEMBERD Control
LOCKER, LAURENIMANAGING MEMBERD Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control
CHAN, ANDREWIMEMBER / CHIEF COMPLIANCE OFFICERB Control

Registrations

Federal

IA
Jan 31, 2025 REGISTERED

Notice Filings (3)

MA NJ NY

Address

3 CLARIDGE DRIVE
SUITE 2
VERONA, NJ 07044
United States
Phone: 973-256-2555