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David Samuel Lockman

Investment Adviser Representative at NEWEDGE ADVISORS

Cleveland, OHCRD #4450854Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
1 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

David Samuel Lockman has worked in the securities industry since 2002. They have passed the Series 66, 7, and 6 examinations. They are registered to provide investment advisory services in Ohio.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Ohio
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 4/4/2011
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/2/2007
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 9/21/2001

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Source

Newedge Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NEWEDGE ADVISORSCurrent
11/1/2021Cleveland, OH
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
10/23/201911/1/2021Independence, OH
HUNTINGTON FINANCIAL ADVISORS
2/1/20178/12/2019Parma, OH
LPL FINANCIAL LLC
9/18/20132/1/2017Cleveland, OH
FIRSTMERIT ADVISORS, INC.
2/6/20129/18/2013Broadview Heights, OH
PRUDENTIAL FINANCIAL PLANNING SERVICES
4/27/20111/30/2012Mayfield Heights, OH
METLIFE SECURITIES INC.
6/10/200512/5/2009Broadview Heights, OH

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. David Samuel Lockman 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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David Samuel Lockman - Financial Advisor in Cleveland, OH | AdvisorFinder