Margaret E. Caldwell
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.
Margaret Elizabeth Caldwell, who also goes by Peggy Caldwell, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1981. Margaret had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2009 - February 14, 2017
AET INVESTMENT SERVICES, LLC
December 15, 2003 - January 22, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
October 17, 2002 - December 15, 2003
AELTUS CAPITAL, INC
April 8, 1999 - October 19, 2001
BLACKROCK EXECUTION SERVICES
May 1, 1998 - August 28, 1998
FIDELITY BROKERAGE SERVICES LLC
May 15, 1992 - August 28, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
August 21, 1981 - November 9, 1987
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
AET INVESTMENT SERVICES, LLC
CRD#: 40878 / SEC#: , 8-49217
Contact information
Documents
Red Flags
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