Margaret A. Brown
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 Brown, who also goes by Peggy Balonek, Balonek Ann Margaret, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 2017. Margaret had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, 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
September 22, 2023 - April 30, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 18, 2023 - April 30, 2024
FIDELITY BROKERAGE SERVICES LLC
October 21, 2022 - March 10, 2023
LPL FINANCIAL LLC
October 21, 2022 - March 10, 2023
LPL FINANCIAL LLC
May 27, 2021 - August 31, 2022
CITIZENS SECURITIES, INC.
May 27, 2021 - August 31, 2022
CITIZENS SECURITIES, INC.
July 9, 2019 - February 5, 2021
EDWARD JONES
April 22, 2019 - February 5, 2021
EDWARD JONES
January 3, 2017 - April 15, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
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 7TO
Date: 6/16/2019
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
