Mary Lockwood has been Chief Investment Officer of Paragon Private Wealth Management since September 2023, is a control person of the firm and directly owns under 5% of it. Mary Lockwood holds a Degree in Economics and Finance from the University of Kentucky.
Paragon Private Wealth Management LLC is a Lexington, KY firm with $458M under management, 169 clients and 2 advisers across 2 offices, as of its March 2026 filing.
Katie Lockwood is Chief Investment Officer of Paragon, a role central to the firm's investment strategies. She creates tailored investment plans for clients and conducts market research and strategy analysis. Before Paragon she was a Financial Advisor at Meridian Wealth Management and at Morgan Stanley, and she began her career as a stockbroker at Scottrade.
Mary Lockwood’s longest registration was 6 years at Morgan Stanley (2013–2020). Before joining Paragon Private Wealth Management in 2023, Mary Lockwood was registered through Meridian Wealth Management, LLC and Morgan Stanley.
- – present · 3 yearsLexington, KY · Adviser representative · Firm CRD 312817
- Meridian Wealth Management, LLC– · 3 yearsLexington, KY · Adviser representative · Firm CRD 151523
- Morgan Stanley– · 6 yearsLexington, KY · Adviser representative · Firm CRD 149777
Professional designations
Listed by Paragon Private Wealth Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Financial Analyst (CFA®)
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 May 2013 |
| Series 24 | General Securities Principal Examination | 7 July 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 November 2006 |
| Series 7 | General Securities Representative Examination | 26 September 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mary Kathryn Lockwood
- CRD
- 4992826
- Firm
- Paragon Private Wealth Management · CRD 312817
- Role
- Chief Investment Officer
- Office
- 300 WEST VINE STREET, SUITE 2201, Lexington, KY 40507
- Registration
- Investment adviser registration
- In the industry since
- October 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- paragonmgmt.com
Where does Mary Lockwood work?
Mary Lockwood has been Chief Investment Officer of Paragon Private Wealth Management LLC since September 2023, and is a control person of the firm.
Is Mary Lockwood a financial advisor?
Yes. Mary Lockwood has a current investment-adviser registration, through Paragon Private Wealth Management since September 2023.
How many years of experience does Mary Lockwood have?
Mary Lockwood has 20 years in the financial industry, since October 2006, across 3 adviser firms.
What exams has Mary Lockwood passed?
Mary Lockwood has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 66. The earliest, the Series 7, was passed in September 2006. FINRA credited Mary Lockwood with the SIE, which began in October 2018.
Where did Mary Lockwood work before Paragon Private Wealth Management?
Before Paragon Private Wealth Management, Mary Lockwood was registered through Meridian Wealth Management, LLC, January 2020 to September 2023; Morgan Stanley, May 2013 to February 2020.
Where is Mary Lockwood based?
Mary Lockwood’s registered office is in Lexington, KY.
Is Mary Lockwood registered with FINRA?
No. Mary Lockwood has no current broker registration.
Is Mary Lockwood a CFP?
Paragon Private Wealth Management lists Mary Lockwood with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Mary Lockwood a CFA charterholder?
Paragon Private Wealth Management lists Mary Lockwood with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Mary Lockwood’s record?
Search CRD 4992826 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mary Lockwood’s full registration record.
