Margareta T. Childs
Professional summary
Margareta Theresia Childs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Margareta is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Margareta had worked at 7 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FINANCIAL WEST GROUP, FIRST ALLIED SECURITIES INC., INTERFIRST CAPITAL CORPORATION, FINANCIAL CONSULTANT GROUP LLC, PAULSON INVESTMENT COMPANY LLC, BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - January 23, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
June 6, 2002 - August 21, 2017
FINANCIAL WEST GROUP
February 11, 2002 - June 13, 2002
FIRST ALLIED SECURITIES, INC.
May 10, 1999 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
April 7, 1997 - April 29, 1999
FINANCIAL CONSULTANT GROUP, LLC
August 7, 1990 - April 1, 1997
PAULSON INVESTMENT COMPANY LLC
October 1, 1986 - October 18, 1990
BLINDER, ROBINSON & CO., 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
