Margaret Narcisi
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 Narcisi, who also goes by Margaret Huberty, Margaret Mancewicz, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1983. Margaret had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2014 - July 29, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
June 19, 2007 - July 23, 2008
STATE FARM VP MANAGEMENT CORP.
January 6, 2006 - August 16, 2006
CITICORP INVESTMENT SERVICES
June 9, 2004 - November 21, 2005
FIFTH THIRD SECURITIES, INC.
September 30, 2003 - February 24, 2004
CITICORP INVESTMENT SERVICES
August 21, 2002 - February 12, 2003
VOYA FINANCIAL PARTNERS, LLC
August 10, 2000 - January 14, 2002
PRUCO SECURITIES, LLC.
December 10, 1993 - January 7, 1994
PRUCO SECURITIES, LLC.
June 9, 1989 - July 21, 1990
PRUCO SECURITIES, LLC.
June 9, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 20, 1983 - September 24, 1986
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
