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Margaret Y. Blaine

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CRD#: 2754157
MB

Professional summary

Margaret Yen-ning Blaine was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Margaret is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Margaret had worked at 3 firms, which includes CLEMENTS COMPANY INVESTMENT ADVISORS, TD AMERITRADE INC., JACK WHITE & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Margaret Yenning Blaine | Margaret Yuenning Blaine | Margaret Blaine | Margaret Wang

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 20, 2001 - April 23, 2002

CLEMENTS COMPANY INVESTMENT ADVISORS

BD
CRD#: 47000
SAN DIEGO, CA
Past

June 1, 1998 - November 21, 2000

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

September 10, 1997 - June 1, 1998

JACK WHITE & COMPANY, INC.

BD
CRD#: 7645

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/19/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

CI
CLEMENTS COMPANY INVESTMENT ADVISORS
CLEMENTS COMPANY INVESTMENT ADVISORS | FIRST GENEVA SECURITIES, INC. | FIRST GENEVA SECURITIES | CLEMENTS COMPANY INVESTMENT ADVISORS, INC.

CRD#: 47000 / SEC#: , 8-51619

BD
Cancelled by SEC on 10/09/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 02/02/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
VALHALLA CAPITAL LLCOWNER
CHAPIN, ROLAND LEEPRESIDENT2494038
CLEMENTS, JAMES MICHAELVICE PRESIDENT

Disclosures

Regulatory Event5

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.

Company Information

CLEMENTS COMPANY INVESTMENT ADVISORS

CRD#: 47000

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