Margaret A. Mclaughlin
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 Anne Mclaughlin, who also goes by Margaret Anne Courtney, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1983. Margaret had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2007 - February 8, 2017
AXIOM CAPITAL MANAGEMENT, INC.
May 2, 2007 - September 25, 2007
UBS FINANCIAL SERVICES INC.
February 22, 2006 - April 17, 2007
PAULSON INVESTMENT COMPANY LLC
August 12, 1993 - February 28, 2005
STANDARD & POOR'S SECURITIES, INC.
November 18, 1991 - March 12, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1983 - May 2, 1989
HAPOALIM SECURITIES USA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 5/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
