Margaret M. Ryansmith
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 Mary Ryansmith, who also goes by Peggy Ryansmith, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1984. Margaret had worked at 11 firms and has passed the Series 65, 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
November 13, 2006 - August 12, 2025
LPL FINANCIAL LLC
September 5, 2006 - August 12, 2025
LPL FINANCIAL LLC
March 2, 2001 - September 7, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 13, 2000 - February 28, 2001
USALLIANZ SECURITIES, INC.
December 5, 1997 - June 1, 1998
MERCANTILE INVESTMENT SERVICES, INC.
May 29, 1997 - November 21, 1997
FIDELITY BROKERAGE SERVICES LLC
February 7, 1997 - May 23, 1997
CARDINAL INVESTMENTS, INC.
February 23, 1996 - December 31, 1996
MOMENTUM INDEPENDENT NETWORK INC.
August 16, 1993 - August 21, 1995
INVESTORS SECURITY COMPANY, INC.
February 25, 1992 - July 7, 1993
MUTUAL SECURITIES, INC.
August 5, 1991 - January 31, 1992
INVESTORS SECURITY COMPANY, INC.
December 24, 1986 - June 6, 1990
MEMBERS INVESTMENT SERVICES, INC.
March 28, 1984 - May 24, 1985
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
