Margaret E. Hornbeck
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 Elaine Hornbeck, who also goes by Margaret E Mitchell, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1985. Margaret had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2014 - February 5, 2020
IMA WEALTH
August 7, 2001 - February 5, 2020
IMA WEALTH
December 16, 1999 - March 3, 2014
TRUENORTH, INC.
July 25, 1994 - February 10, 1996
BANC IV INVESTMENTS, INC.
March 11, 1986 - July 19, 1994
H & R BLOCK FINANCIAL CORPORATION
November 20, 1985 - April 7, 1986
WALL STREET ACCESS
Primary Firm SEC Registration
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
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
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
Contact information
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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