Margaret E. Hart
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 Elizabeth Hart, who also goes by Margaret E Vega, Margaret Elizabeth Vega, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1996. Margaret had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 53 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
November 10, 2020 - May 13, 2021
FIDELITY BROKERAGE SERVICES LLC
September 5, 2017 - October 2, 2020
NATIONAL SECURITIES CORPORATION
January 9, 2017 - June 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2016 - December 21, 2016
NATIONAL SECURITIES CORPORATION
January 14, 2011 - December 31, 2011
MORGAN STANLEY
September 1, 2010 - September 14, 2015
MORGAN STANLEY
May 7, 2008 - August 12, 2010
RBC CAPITAL MARKETS, LLC
May 24, 2004 - April 30, 2008
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 14, 2000 - July 1, 2002
UBS FINANCIAL SERVICES INC.
October 22, 1996 - February 24, 2000
CHASE INVESTMENT SERVICES CORP.
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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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