Margaret R. Beller
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 Rose Beller, who also goes by Meg Beller, Peg Beller, Peggy Beller, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1984. Margaret had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
December 24, 2015 - May 29, 2018
AVANTAX INVESTMENT SERVICES, INC.
November 30, 2012 - December 31, 2013
OFG FINANCIAL SERVICES, INC.
December 18, 2008 - December 23, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2000 - January 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 18, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 18, 2000 - January 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 1997 - February 24, 1998
A. G. EDWARDS & SONS, INC.
January 16, 1997 - June 3, 1997
MORGAN STANLEY DW INC.
May 18, 1987 - May 31, 1995
DAIN RAUSCHER INCORPORATED
June 20, 1984 - June 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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
Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
