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FW

Frederick W. Wheadon

LOCKTON RE CAPITAL MARKETS
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 7951833
FW

Professional summary

Frederick William Newman Wheadon is a registered financial professional currently at LOCKTON RE CAPITAL MARKETS, LLC located in New York, New York.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 2024. Frederick has worked at 1 firm and has passed the Series 63, Series 7TO and SIE 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) - BD

Click below to view Frederick William Newman Wheadon's 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

August 7, 2024 - Present

LOCKTON RE CAPITAL MARKETS, LLC

Office #1: 261 Fifth Avenue 10th Floor, New York, NY 10016
BD
CRD#: 323110
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LR
LOCKTON RE CAPITAL MARKETS, LLC
LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110 / SEC#: , 8-70988

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Mailing Address
261 Fifth Avenue 10th Floor, New York, NY 10016
Phone number
(332) 262-4833
Established
Missouri since 07/25/2022
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LOCKTON RE, LPSOLE MEMBER
BRANT, DAVID ROBERTFINOP/ PFO/ POO2718478
BRESLIN, ZACHARY NOLANMANAGING DIRECTOR, HEAD OF CAPITAL MARKETS6685745
HOMAN, LISA MCHIEF COMPLIANCE OFFICER7730979

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

LOCKTON RE CAPITAL MARKETS, LLC

CRD#: 323110New York, NY 10016

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