Margaret M. Stephan
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 Melissa Stephan, CFP®, who also goes by Margaret M. Stephan, Peggy Stephan, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1999. Margaret had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
Start date: 2006
Experience
September 17, 2019 - July 10, 2025
EMPOWERMENT FINANCIAL GUIDANCE, LLC
May 7, 2019 - October 24, 2019
PRIVATE ADVISOR GROUP, LLC
March 26, 2010 - May 10, 2019
RETIREMENT CAPITAL STRATEGIES, INC.
December 4, 2009 - July 25, 2018
LPL FINANCIAL LLC
November 16, 2009 - January 21, 2010
LPL FINANCIAL LLC
January 10, 2007 - December 2, 2010
WALES INVESTMENTS INC
November 20, 2006 - December 31, 2006
WALES INVESTMENTS INC
November 10, 1999 - November 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
EMPOWERMENT FINANCIAL GUIDANCE, LLC
CRD#: 304421 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 16,162,996 |
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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