Mark R. Lockwood
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.
Mark Raymond Lockwood, who also goes by Mark Reymond Lockwood, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2012. Mark had worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2012 - February 21, 2023
WINKLEVOSS INSURANCE AGENCY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WINKLEVOSS INSURANCE AGENCY, LLC
CRD#: 39081 / SEC#: , 8-48544
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WINKLEVOSS, LLC | MEMBER | |
| WINKLEVOSS, HOWARD EDWARD | MANAGER, CHIEF COMPLIANCE OFFICER | 2652707 |
Disclosures
| Regulatory Event | 1 |
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.
