Margaret A. Greer
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 Ann Miller Greer, who also goes by Greer Ann Miller Margaret, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 2003. Margaret had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2010 - September 11, 2024
SAGE, RUTTY & CO., INC.
July 5, 2005 - September 11, 2024
SAGE, RUTTY & CO., INC.
July 18, 2003 - December 17, 2003
PREFERRED HOLDING CORPORARTION
Primary Firm SEC Registration
SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
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
SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
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.
