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MH

Margaret A. Haze

MUTUAL OF AMERICA SECURITIES LLC
Milwaukee, WI 53224
Some features on this profile are disabled
CRD#: 4997455
MH

Professional summary

Margaret Ann Haze, who also goes by Maggie Haze, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Milwaukee, Wisconsin.

Margaret is registered as a RR (Registered Representative) and started their career in finance in 2005. Margaret has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maggie Haze

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 Ann Haze's CRS (Customer Relationship Summary).
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

August 17, 2012 - Present

MUTUAL OF AMERICA SECURITIES LLC

Office #1: 10850 West Park Place Suite 600, Milwaukee, WI 53224
BD
CRD#: 27878
Milwaukee, WI
Past

August 17, 2012 - November 9, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
MILWAUKEE, WI
Past

December 19, 2005 - August 10, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
BROOKFIELD, WI
Past

December 19, 2005 - August 10, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BROOKFIELD, WI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(7/30/2014)
RR
Iowa
(7/29/2014)
RR
Michigan
(8/21/2012)
RR
Minnesota
(6/6/2022)
RR
North Dakota
(6/6/2022)
RR
South Dakota
(7/15/2022)
RR
Wisconsin
(8/20/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/18/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878 / SEC#: , 8-43278

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

Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MUTUAL OF AMERICA HOLDING COMPANY LLCMEMBER
BAILEY, CHRISTOPHER DAVIDCHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER4582524
BRANT, DAVID ROBERTFINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO)2718478
GREGORY, IVAN BRUCEEXECUTIVE VICE PRESIDENT AND BOARD MANAGER4984456
JOHNSON, TROY SHERMANEXECUTIVE VICE PRESIDENT AND BOARD MANAGER3052097
MEDLIN, KYLE LAWRENCESENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER5496979
STEINGARTEN, BRIE ANNE ELIZABETHGENERAL COUNSEL AND SECRETARY5373977

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

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878Milwaukee, WI 53224

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