Margaret L. Imler
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 Lee Imler, who also goes by Margaret Lee Froehlich, Margaret Lee Gilpin, Peg Imler, Peggy Imler, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1992. Margaret had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2010 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
October 19, 2006 - September 15, 2009
PNC WEALTH MANAGEMENT LLC
December 14, 2005 - August 1, 2006
PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES
September 28, 2004 - December 14, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
January 7, 2002 - January 2, 2003
NEWEDGE SECURITIES, LLC
May 2, 1997 - May 16, 2001
CONSECO SECURITIES, INC.
June 1, 1995 - July 7, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1995 - July 7, 1995
OSAIC FA, INC.
January 17, 1995 - June 13, 1995
CITIGROUP GLOBAL MARKETS INC.
May 26, 1992 - December 6, 1994
SECURIAN FINANCIAL SERVICES, 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
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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