Margaret C. Slusser
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 Charles Slusser, who also goes by Margaret M Charles, Margaret Mary Charles, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1989. Margaret had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 1992 - March 22, 2005
FIRST SECURITY INVESTMENTS, INC.
August 9, 1989 - October 25, 1990
PNC CAPITAL MARKETS LLC
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
FIRST SECURITY INVESTMENTS, INC.
CRD#: 24035 / SEC#: , 8-40870
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
