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Brian Christopher Lock

Investment Adviser Representative at OSAIC WEALTH, INC.

St. Louis, MOCRD #3092520Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
16 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
AlabamaCaliforniaColoradoFloridaGeorgiaHawaiiIllinoisKansasMassachusettsMissouriNew HampshireNew MexicoSouth CarolinaTexasVirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/30/2001
Series 63
Uniform Securities Agent State Law Examination
Passed 9/28/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/20/1998
Series 24
General Securities Principal Examination
Passed 11/15/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Wealth, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

UNIVERSAL FINANCIAL ADVISORS, LLCCurrent
5/11/2022St. Louis, MO
PFG ADVISORS
1/3/20228/10/2022St. Louis, MO
BEAM ASSET MANAGEMENT, LLC
3/9/201512/15/2021Saint Louis, MO
UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.
9/24/200112/31/2015St. Louis, MO

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian Christopher Lock has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Brian Christopher Lock - Financial Advisor in St. Louis, MO | AdvisorFinder