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Mary Kathryn Lockwood

Mary K. Lockwood

PARAGON PRIVATE WEALTH MANAGEMENT LLC
Lexington, KY 40507
Some features on this profile are disabled
CRD#: 4992826
Mary Kathryn Lockwood

Professional summary

Mary Kathryn Lockwood, CFP®, who also goes by Katie Lockwood, Katie Lockwod, Katie Westerman, Mary Kathryn Westerman, is a registered financial advisor currently at PARAGON PRIVATE WEALTH MANAGEMENT LLC located in Lexington, Kentucky.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Mary has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katie Lockwood | Katie Lockwod | Katie Westerman | Mary Kathryn Westerman

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.
1. RENTAL PROPERTY; LEXINGTON/KY; OWNER/LANDLORD; START DATE: 05/2017; RENTAL PROPERTY; NON-INVESTMENT RELATED; DEVOTE ABOUT 2 HOURS/MONTH AND 0 ARE DURING SECURITIES TRADING HOURS; DUTIES INCLUDE: GENERAL LANDLORD RESPONSIBILITIES 2. K LOCKWOOD LLC; LEXINGTON/KY; MANAGING MEMBER; START DATE: 05/2020; FOR BUSINESS TAX PURPOSES OF INVESTMENT ADVISORY BUSINESS; NON-INVESTMENT RELATED; DEVOTE ABOUT 1 HOURS/MONTH AND ALL ARE DURING SECURITIES TRADING HOURS; DUTIES INCLUDE: KEEPING UP WITH MONTHLY INCOME AND EXPENSES FOR TAX PURPOSES 3. LOCKWOOD HOUSEHOLD, LLC; LEXINGTON/KY; MANAGING MEMBER; START DATE: 10/2021; PAYROLL FOR CHILDCARE; NON-INVESTMENT RELATED; DEVOTE ABOUT 0 HOURS/MONTH AND 0 ARE DURING SECURITIES TRADING HOURS; DUTIES INCLUDE: RUNNING PAYROLL FOR CHILDCARE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Lockwood'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®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

September 25, 2023 - Present

PARAGON PRIVATE WEALTH MANAGEMENT LLC

Office #1: 300 West Vine Street Suite 2201, Lexington, KY 40507
RIA
CRD#: 312817
Lexington, KY
Past

January 30, 2020 - September 21, 2023

MERIDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 151523
LEXINGTON, KY
Past

May 31, 2013 - February 10, 2020

MORGAN STANLEY

RIA
CRD#: 149777
LEXINGTON, KY
Past

May 14, 2013 - February 10, 2020

MORGAN STANLEY

BD
CRD#: 149777
LEXINGTON, KY
Past

September 27, 2006 - April 22, 2013

SCOTTRADE, INC.

BD
CRD#: 8206
LEXINGTON, KY

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".
PP
PARAGON PRIVATE WEALTH MANAGEMENT LLC
PARAGON PRIVATE WEALTH MANAGEMENT LLC | PERINA ADVISORS, LLC

CRD#: 312817 / SEC#: 801-120682

RIA
Registered Investment Advisory firm - (4/2/2021 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
Kentucky
(9/25/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/30/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/7/2010
General Securities Principal Examination

Current Firm

PP
PARAGON PRIVATE WEALTH MANAGEMENT LLC
PARAGON PRIVATE WEALTH MANAGEMENT LLC | PERINA ADVISORS, LLC

CRD#: 312817 / SEC#: 801-120682

RIA
Registered Investment Advisory firm - (4/2/2021 Approved)
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Contact information

Main Address
300 West Vine Street Suite 2201, Lexington, KY 40507
Mailing Address
Phone number
(859) 300-3985
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR PARAGON PRIVATE WEALTH MANAGEMENT, LLC (3/27/2025)

Regulatory assets under management

Total Number of Accounts684
AUM (Assets Under Management)$ 354,857,921

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/29/2025
Cover Page
Report
10/28/2024
Cover Page
Report
12/18/2023
Cover Page
Report
11/28/2022
Cover Page
Report

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

PARAGON PRIVATE WEALTH MANAGEMENT LLC

CRD#: 312817Lexington, KY 40507

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