Margaret A. Patrick
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 Anne Patrick, who also goes by Margaret Anne Crockett, Margaret Anne Leger, Margaret Leger, Margaret Patrick, Margaret Anne Ward, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 2000. Margaret had worked at 7 firms and has passed the Series 65, Series 63 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
March 28, 2011 - May 1, 2013
CAPSOUTH WEALTH MANAGEMENT
May 14, 2010 - May 2, 2011
NBC SECURITIES, INC.
April 23, 2009 - May 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2009 - May 13, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2006 - August 3, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 13, 2003 - December 18, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 2002 - August 29, 2003
SYNOVUS SECURITIES, INC.
July 6, 2000 - April 25, 2002
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
CAPSOUTH WEALTH MANAGEMENT
CRD#: 132517 / SEC#: 801-63509
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
CAPSOUTH WEALTH MANAGEMENT
CRD#: 132517 / SEC#: 801-63509
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,509 |
| AUM (Assets Under Management) | $ 884,373,284 |
Red Flags
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