Adviser and broker representative · First Citizens Investor Services, Inc.
Harold A. Lockwood Jr.
CRD 5063237 · Charlotte, NC
At a glance
Harold A. Lockwood Jr. is an investment adviser representative with First Citizens Investor Services, Inc. in Charlotte, NC, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Harold’s SEC record dates to 2005, about 20 years ago. Harold is also registered as a broker representative. Designations on file: Certified Financial Planner, Chartered Financial Consultant.
Current advisory firm
- First Citizens Investor Services, Inc.Since April 2021Charlotte, NC · $2.6B in regulatory assets
SEC adviser record
- Registered since
- 2005 (20 years)
- Designations
- Certified Financial Planner, Chartered Financial Consultant
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Harold’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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- Thomas D. ClineCharlotte
- Kelly O. CooperCharlotte · Certified Financial Planner
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