Margaret A. Pangrazio
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 A Pangrazio, who also goes by Margaret A Pargrazio, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 2010. Margaret had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2013 - April 24, 2014
SMH CAPITAL INVESTMENTS LLC
January 1, 2010 - May 30, 2012
SMH CAPITAL INVESTMENTS LLC
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
Series 11
Date: 12/29/2009
Assistant Representative-Order Processing Qualification ExamCurrent Firm
SMH CAPITAL INVESTMENTS LLC
CRD#: 24535 / SEC#: , 8-40904
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOYERS ORGANIZATION LLC | OWNER | |
| MOYERS, DWAYNE ALAN | CEO/CCO/FINOP | 1850654 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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