Financial Advisor
Al Locy Financial Services

Financial Advisor Al Locy's Education and Business Background
Albert James Locy was associated with the Broker Dealer firm of HardingIHall Incorporated from November 1985 to October 2002, and operated an OSJ branch office in Lodi, California from February 1989 to October 2002. There was one other broker that reported to Albert Locy at this Lodi location.  The location of this branch office is 1300 West Lodi Avenue Suite A7 Lodi, California 95242.

Education, Registration and Licensing

• November 20, 1985 completed and received the NASD series 7 designation as a Registered Representative. 
• October 13, 1986 received the NASD series 63 designation for the Uniform Securities Agent State Law Examination. 
• October 24, 1988 completed NASD series 24 designations as a General Securities Principal. 
• December 15, 1988 completed tax Licensing with the State of California. 
• May1 ,1990 completed the insurance Licensing with the State of California.
• Al Locy on December 28, 1990 received the designation of a Registered Investment Advisor (RIA) from the Securities and Exchange Commission (SEC)
• May 24, 1991 received the designation of RIA with the California State Department of
  Corporations
• November of 2005 received the Designation of RIA from the Wisconsin Department of Finance Division of Securities for Al Locy Financial Services.

Other Business Activities
Al Locy Financial Services besides financial Planning and investments, also does tax planning and preparation and can furnish to clients Life Insurance and Annuities.

Other Financial Industry Activities and Affiliations
Al Locy Financial Service is associated with and carries a Master Account with Charles Schwab Institutional for fee-based clients.  Al Locy Financial Service is not a related person or general partner in any partnership in which clients are solicited to invest.

If you have any questions you can email me or call me at (800) 456-LOCY (5629).

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