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PL

Philip W. Lockett

Some features on this profile are disabled
CRD#: 2263269
PL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Philip Whitney Lockett was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 1, 2013 - June 19, 2015

MERUS CAPITAL PARTNERS, LLC

BD
CRD#: 158884
NEW YORK, NY
Past

April 20, 2010 - August 23, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

March 12, 2009 - September 18, 2009

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
CHAPEL HILL, NC
Past

November 11, 2008 - January 27, 2009

DIMENSION BROKERAGE, LLC

BD
CRD#: 136257
NEW YORK, NY
Past

September 22, 2008 - December 1, 2008

JAG TRADING L.L.C.

BD
CRD#: 114061
WEST BLOOMFIELD, MI
Past

March 27, 2008 - June 27, 2008

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

April 20, 2006 - April 9, 2008

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

November 18, 2003 - August 17, 2004

KING FINANCIAL SERVICES, INC.

BD
CRD#: 25843
EDISON, NJ
Past

May 27, 1999 - October 20, 2003

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

March 13, 1998 - March 31, 1999

UTENDAHL CAPITAL PARTNERS, L.P.

BD
CRD#: 30115
NEW YORK, NY
Past

October 27, 1992 - December 22, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 9/25/1999
Limited Representative-Equity Trader Exam

Current Firm

MC
MERUS CAPITAL PARTNERS, LLC
MERUS CAPITAL PARTNERS, LLC

CRD#: 158884 / SEC#: , 8-68937

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/15/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERUS CAPITAL GROUP LLCMEMBER
ALTER, IRINACCO5988457
BORRELLI, ALAN PASQUALECFO2655912
JUNG, CHARLES CHANDIRECTOR OF OPERATIONS4777355

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MERUS CAPITAL PARTNERS, LLC

CRD#: 158884

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