LOCK CAPITAL MANAGEMENT LLC
CRD #139157 SEC #801-66082 RIDGEFIELD, CT 203-894-8464
SEC Registered
Total AUM
$6.8M
Discretionary
$6.8M
Employees
5
Clients
--
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 10, 2006
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SHORTEN, RICHARD | I | CCO | NA | Control |
| SHORTEN, RICHARD, LEE | I | CCO | NA | Control |
| SHORTEN, RICHARD, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHORTEN, RICHARD, LEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LOCKWOOD, MICHAEL, DAVID | I | MANAGING MEMBER | E | Control |
| LOCKWOOD, MICHAEL, DAVID | I | MANAGING MEMBER | E | Control |
| LOCKWOOD, MICHAEL, DAVID | I | MANAGING MEMBER | E | Control |
| LOCKWOOD, MICHAEL, DAVID | I | MANAGING MEMBER | E | Control |
Registrations
Federal
IA
Jan 10, 2006 REGISTERED
Notice Filings (1)
CT
Address
440 MAIN STREETRIDGEFIELD, CT 6877
USA
Phone: 203-894-8464