RIA Intelligence

LOCKERMAN FINANCIAL GROUP, INC

CRD #316860 SEC #801-122651 NEWPORT BEACH, CA 949-544-3500
SEC Registered
Total AUM
$134.8M
Discretionary
$134.8M
Employees
1
Clients
10
Accounts
252

Firm Details

Organization Type
Corporation
State of Formation
California
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Jan 15, 2025
Branch Offices
0

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LOCKERMAN, LISA, LYNNICHIEF COMPLIANCE OFFICERNA Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LISA L. LOCKERMAN LIVING TRUSTDEMEMBERE Control
LOCKERMAN, LISA, LYNNIMANAGING MEMBER & CHIEF COMPLIANCE OFFICERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control
LOCKERMAN, LISA, LYNNILISA L. LOCKERMAN LIVING TRUSTE Control

Registrations

Federal

IA
Jan 15, 2025 REGISTERED

Notice Filings (2)

CA TX

Address

4695 MACARTHUR COURT
SUITE 490
NEWPORT BEACH, CA 92660
United States
Phone: 949-544-3500