Margaret A. Cullem-fiore
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 Cullem-fiore, who also goes by Margaret Ann Cullem, Meg Cullem-fiore, Margaret Ann Cullemfiore, Margaret Ann Fiore, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1980. Margaret had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2007 - February 5, 2013
TRANSAMERICA CAPITAL, LLC
December 16, 2004 - March 11, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 29, 2003 - August 31, 2004
JEFFERSON NATIONAL SECURITIES CORPORATION
September 30, 2002 - May 6, 2003
COREBRIDGE CAPITAL SERVICES, INC.
May 31, 2000 - May 31, 2000
FIRSTAR INVESTMENT SERVICES,INC.
April 24, 2000 - August 30, 2002
CONSECO SECURITIES, INC.
April 4, 2000 - August 30, 2002
CONSECO EQUITY SALES, INC.
May 13, 1999 - January 18, 2000
AFSG SECURITIES CORPORATION
October 17, 1994 - February 9, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 9, 1989 - January 1, 1993
SIGNATOR INVESTORS, INC.
September 9, 1989 - March 3, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 14, 1988 - February 13, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
July 25, 1985 - August 23, 1988
VP DISTRIBUTORS LLC
October 28, 1980 - November 22, 1983
44 SECURITIES, INC.
January 19, 1980 - May 13, 1985
E. F. HUTTON & COMPANY 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
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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