Margaret B. Whitfield
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 Burke Whitfield, who also goes by Margaret Burke, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1998. Margaret had worked at 5 firms and has passed the Series 63, Series 87, Series 86 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
February 15, 2007 - January 3, 2013
STERNE, AGEE & LEACH, INC.
May 17, 2004 - January 29, 2007
RYAN BECK & CO.
January 4, 2002 - April 23, 2004
BREAN MURRAY & CO., INC.
November 1, 1999 - November 15, 2001
TUCKER ANTHONY INCORPORATED
May 3, 1999 - November 1, 1999
CLEARY GULL INC.
April 8, 1998 - May 3, 1999
TUCKER ANTHONY INCORPORATED
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
