Lockwood T. Sloan

SHIKIAR ASSET MANAGEMENT

New York, NY 10019

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CRD#: 2609023

Professional summary

Lockwood Talmage Sloan is a registered financial advisor currently at SHIKIAR ASSET MANAGEMENT INC located in New York, New York.

Lockwood is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Lockwood has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Lockwood Talmage Sloan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 16, 2021 - Present

SHIKIAR ASSET MANAGEMENT INC

Office #1: 1350 Avenue Of The Americas Ste. 1608, New York, NY 10019

RIA

CRD#: 107533

New York, NY

Past

May 16, 2013 - February 28, 2014

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

September 19, 2006 - February 28, 2014

PERSHING LLC

CRD#: 7560

NEW YORK, NY

Past

July 10, 2003 - August 29, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 10, 2003 - August 29, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 15, 2002 - June 5, 2003

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 15, 1997 - September 11, 1998

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

June 23, 1995 - May 6, 1997

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHIKIAR ASSET MANAGEMENT INC

CRD#: 107533 / SEC#: 801-44062

RIA

Registered Investment Advisory firm - (6/3/1993 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(11/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/22/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHIKIAR ASSET MANAGEMENT INC

CRD#: 107533 / SEC#: 801-44062

RIA

Registered Investment Advisory firm - (6/3/1993 Approved)

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Contact information

Main Address

1350 Avenue Of The Americas Ste. 1608, New York, NY 10019

Mailing Address

Phone number

(212) 888-6565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHIKIAR ASSET MANAGEMENT, INC. PART 2A OF FORM ADV (3/25/2025)

Regulatory assets under management

Total Number of Accounts	243
AUM (Assets Under Management)	$ 532,000,000

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.

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Firm Stability Insights

Lockwood T. Sloan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lockwood Talmage Sloan's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNY MELLON CAPITAL MARKETS, LLC

PERSHING LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

G.RESEARCH, LLC

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

SHIKIAR ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2002

Series 63

Date: 7/6/1995

Series 7

Date: 10/14/2002

Series 6

Date: 6/22/1995

Current Firm

SHIKIAR ASSET MANAGEMENT INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHIKIAR ASSET MANAGEMENT INC

TRUST BUT VERIFY

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