Stephen Locke has been an investment adviser representative at First Advisors National since April 2014, and is not listed among the firm’s executive officers or direct owners.
First Advisors National, LLC is an Atlanta, GA firm with $506M under management, 4,858 clients and 64 advisers across 63 offices, as of its March 2026 filing.
Stephen Locke’s longest registration is the current one, 12 years at First Advisors National since 2014. Before joining First Advisors National in 2014, Stephen Locke was registered through Alphastar Capital Management, LLC and Tower Square Securities, Inc.
- First Advisors National, LLCCurrent– present · 12 yearsStephens City, VA · Adviser representative · Firm CRD 166212
- Alphastar Capital Management, LLC– · 1 yearCross Junction, VA · Adviser representative · Firm CRD 157423
- Tower Square Securities, Inc.– · 1 yearWinchester, VA · Adviser representative · Firm CRD 833
- Uvest Financial Services and/Or Compass Capital– · under a yearWinchester, VA · Adviser representative · Firm CRD 13787
- Woodbury Financial Services, Inc.– · 2 yearsSalem, VA · Adviser representative · Firm CRD 421
Investment adviser representative registrations
Stephen Locke is registered as an investment adviser representative in Virginia, since April 2014.
- VirginiaSince 2 April 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 25 November 1998 |
| Series 24 | General Securities Principal Examination | 24 February 1997 |
| Series 7 | General Securities Representative Examination | 20 January 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 June 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 June 1983 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Stephen Joseph Locke
- CRD
- 1122385
- Firm
- First Advisors National · CRD 166212
- Office
- 640-111 Warrior Dr, Stephens City, VA 22655
- Registration
- Investment adviser registration
- In the industry since
- February 2008
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Locke work?
Stephen Locke is an investment adviser representative registered through First Advisors National, LLC since April 2014, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Locke a financial advisor?
Yes. Stephen Locke has a current investment-adviser registration in Virginia, through First Advisors National since April 2014.
How many years of experience does Stephen Locke have?
Stephen Locke has 18 years in the financial industry, since February 2008, across 5 adviser firms.
What exams has Stephen Locke passed?
Stephen Locke has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and Series 65. The earliest, the Series 6, was passed in June 1983.
Where did Stephen Locke work before First Advisors National?
Before First Advisors National, Stephen Locke was registered through Alphastar Capital Management, LLC, November 2012 to April 2014; Tower Square Securities, Inc., July 2005 to December 2006; Uvest Financial Services and/Or Compass Capital, November 2004 to March 2005; Woodbury Financial Services, Inc., August 1999 to July 2002.
Where is Stephen Locke based?
Stephen Locke’s registered office is in Stephens City, VA.
Is Stephen Locke registered with FINRA?
No. Stephen Locke has no current broker registration.
How can I verify Stephen Locke’s record?
Search CRD 1122385 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Locke’s full registration record.
