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Chief Compliance Officer/member/principal · Universal Financial Advisors, LLC

Brian C. Lock

CRD 3092520 · Named on Form ADV at one SEC-registered adviser

At a glance

Universal Financial Advisors, LLC, an SEC-registered wealth manager based in St. Louis, MO with $277 million in regulatory assets, lists Brian C. Lock on its Form ADV as Chief Compliance Officer/member/principal, a control person.

Firms and roles

AtlasMembers

Brian’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
Locked
Control-person status
1 firmLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Ashley B. LockCo-Trustee of Brian C. Lock TOD Brian C. Lock and Ashley B. Lock Revocable Qualified Spousal Trust Dated 10/7/2016, Universal Financial Advisors, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Brian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.