Career
Brian Lockhart has been Management Board of Shepherd Kaplan Krochuk since February 2020. Brian Lockhart is a control person of the firm and directly owns between 10% and 25% of it. Brian Lockhart holds a BS in Business Administration from California Polytechnic State University.
Shepherd Kaplan Krochuk, LLC is a Boston, MA firm with $10.9B under management, 213 clients and 15 advisers in one office, as of its March 2026 filing.
SKK describes Brian Lockhart as an owner and management-board member and notes Peak Capital Management, which he founded, was acquired by SKK in February 2020.
- Peak Capital Management, LLCAlso current– present · 19 yearsGreenwood Village, CO · Adviser representative · Firm CRD 141488
- Cambridge Investment Research Advisors, Inc.– · 2 yearsColorado Springs, CO · Adviser representative · Firm CRD 134139
- Cambridge Investment Reserarch, Inc.– · under a yearColorado Springs, CO · Adviser representative · Firm CRD 39543
- American Express Financial Advisors, Inc.– · 7 yearsColorado Springs, CO · Adviser representative · Firm CRD 6363
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| California | Approved | 20 June 2017 |
| Colorado | Approved | 18 January 2007 |
| New Mexico | Approved | 21 June 2017 |
| Texas | Approved | 9 April 2008 |
- Status
- Approved
- Status
- Approved
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 26 January 2008 |
| Series 24 | General Securities Principal Examination | 28 September 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 July 1994 |
| Series 7 | General Securities Representative Examination | 5 July 1994 |
- Name
- Futures Managed Funds Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Brian David Lockhart
- CRD
- 2508255
- Firm bio
- skk-llc.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Brian Lockhart work?
Brian Lockhart has been Management Board of Shepherd Kaplan Krochuk, LLC since February 2020, and is a control person of the firm.
Is Brian Lockhart a financial advisor?
Yes. Brian Lockhart has a current investment-adviser registration in California, Colorado, New Mexico and Texas.
How many years of experience does Brian Lockhart have?
Brian Lockhart has 32 years in the financial industry, since July 1994, across 4 adviser firms.
What exams has Brian Lockhart passed?
Brian Lockhart has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 31. The earliest, the Series 7, was passed in July 1994.
Where was Brian Lockhart previously registered as an investment adviser?
Brian Lockhart has past investment-adviser registrations through Cambridge Investment Research Advisors, Inc., March 2005 to June 2007; Cambridge Investment Reserarch, Inc., January 2005 to March 2005; American Express Financial Advisors, Inc., September 1997 to January 2005, across 4 firms.