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DAVID SAMUEL LOCKMAN
DAVE S LOCKMAN, DAVE LOCKMAN, DAVID S LOCKMAN, DAVID LOCKMAN
CRD#: 4450854
IA
Investment Adviser
PR
Previously Registered Broker
The representative was previously registered as a broker and is currently registered as an investment adviser. Visit IAPD for more information on this individual's investment adviser record. Go to SEC Site
Registration History
2002200420062008201020122014201620182020BTHE HUNTINGTON INVESTMENT COMPANY (CRD# 16986)2017 - 2019 (2 years)BLPL FINANCIAL LLC (CRD# 6413)2013 - 2017 (3 years)BFIRSTMERIT FINANCIAL SERVICES, INC (CRD# 149680)2012 - 2013 (1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2009 - 2012 (2 years)BMETLIFE SECURITIES INC. (CRD# 14251)2001 - 2009 (8 years)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2001 - 2007 (5 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2001 - 2001 (<1 year)
Disclosure(s)
View By:
6/11/2019
Customer Dispute
Denied
Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/01/2017 - 08/12/2019 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) PARMA, OH
B
09/18/2013 - 02/01/2017 LPL FINANCIAL LLC (CRD#:6413) CLEVELAND, OH
B
02/06/2012 - 09/18/2013 FIRSTMERIT FINANCIAL SERVICES, INC (CRD#:149680) CLEVELAND, OH
B
12/08/2009 - 01/30/2012 PRUCO SECURITIES, LLC. (CRD#:5685) MAYFIELD HEIGHTS, OH
B
12/06/2001 - 12/05/2009 METLIFE SECURITIES INC. (CRD#:14251) BROADVIEW HEIGHTS, OH
B
12/06/2001 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) BROADVIEW HEIGHTS, OH
B
09/24/2001 - 10/18/2001 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

Click here for more information about how to check on an investment professional.

B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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