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MF

Margaret J. Fuller

SLD AMERICA EQUITIES
NORTH OAKS, MN
Some features on this profile are disabled
CRD#: 2956127
MF

Professional summary

Margaret Joan Fuller, who also goes by Margaret Scherer, is a registered financial professional currently at SLD AMERICA EQUITIES, INC. located in North Oaks, Minnesota.

Margaret is registered as a RR (Registered Representative) and started their career in finance in 1998. Margaret has worked at 4 firms and has passed the SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Margaret Scherer

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) - BD

Click below to view Margaret Joan Fuller's CRS (Customer Relationship Summary).

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

Current

January 11, 2022 - Present

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
NORTH OAKS, MN
Past

September 20, 2018 - November 22, 2021

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

May 20, 2011 - November 30, 2012

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
MINNEAPOLIS, MN
Past

October 29, 2001 - January 4, 2017

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
MINNEAPOLIS, MN
Past

January 28, 1998 - December 31, 2003

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/21/1999
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SLD AMERICA EQUITIES, INC.
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.

CRD#: 36259 / SEC#: , 8-47089

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Phone number
(763) 342-9429
Established
Colorado since 09/27/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITY LIFE OF DENVER INSURANCE COMPANYPARENT OF BROKER/DEALER
ANDERSON, KELLY MARIEDEPUTY COMPLIANCE OFFICER1819119
BURNS, BRANDI JOPRESIDENT5862366
DIXIT, ANURAKTCHAIR/DIRECTOR8029030
ESLINGER, CHAD MICHAELCHIEF COMPLIANCE OFFICER4182299
KILIAN, CONRAD JOHANNFINANCIAL AND OPERATIONS PRINCIPAL6214509
SOCHA, KEVIN ROBERTDIRECTOR7241694
WIESE, AMY JODIRECTOR5928677

Disclosures

Regulatory Event1

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

SLD AMERICA EQUITIES, INC.

CRD#: 36259North Oaks, MN

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