Mary Kathryn Lockwood

Employer firm

Paragon Private Wealth Management LLC CRD 312817

$458M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2013 → 01/2020
  Morgan Stanley Smith Barney Llc
  Lexington, Ky 40507, KY
• 04/2013 → 01/2020
  Morgan Stanley Private Bank, National Association
  New York, NY
• 01/2020 → 09/2023
  Meridian Wealth Management, Llc
  Lexington, KY
• 09/2023 → Present
  Paragon Private Wealth Management
  Lexington, KY

Previous Registrations

• 2020-01-30 → 2023-09-21
  Meridian Wealth Management, Llc
  Lexington, KY
• 2013-05-31 → 2020-02-10
  Morgan Stanley
  Lexington, KY

Other Businesses

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

Exams

• S66 Uniform Combined State Law Examination
  2013-05-30
• S63 Uniform Securities Agent State Law Examination
  2006-11-21

Other Names

• Katie Westerman
• Mary Kathryn Westerman
• Katie Lockwood
• Katie Lockwod
• Mary Kathryn Lockwood