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Margaret E Wiermanski

CRD# 703833·Registered 2003 - 2022
Previously Registered: Being a previously registered professional could mean that Margaret 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.

Professional Summary

Margaret E Wiermanski, who also goes by Margaret Ellen Talbot, was a registered financial advisor. Margaret was a previously registered financial professional and started their career in finance 2003 - 2022. Margaret had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 14, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Margaret Ellen Talbot

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

20 years in the financial services industry

Current & Past Employments

RAPID EXECUTION SERVICES, LLC·CRD# 171853
BD
Chicago, IL
November 10, 2014 - January 4, 2022
E*TRADE SECURITIES LLC·CRD# 29106
BD
Chicago, IL
October 29, 2013 - March 12, 2014
SUMO CAPITAL, LLC·CRD# 146310
BD
Chicago, IL
January 11, 2013 - June 19, 2013
CTC XS, LLC·CRD# 139078
BD
Chicago, IL
July 13, 2010 - January 4, 2011
CTC XS, LLC·CRD# 139078
BD
Chicago, IL
May 29, 2008 - July 13, 2010
CTC FUND LLC·CRD# 124930
BD
Chicago, IL
March 11, 2004 - June 9, 2004
CTC, LLC·CRD# 44597
BD
Chicago, IL
December 3, 2003 - January 4, 2011
TD OPTIONS LLC·CRD# 119855
BD
Chicago, IL
June 25, 2003 - July 24, 2003

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Current Firm

RE
RAPID EXECUTION SERVICES, LLC

RAPID EXECUTION SERVICES, LLC

CRD#: 171853 / SEC#: 8-69485
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

440 S. Lasalle Street Suite 1525, Chicago, IL 60605

Mailing Address

440 S. Lasalle Street Suite 1525, Chicago, IL 60605

Phone Number

(312) 241-1622

Established

Illinois since 05/19/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (1 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
SUMO HOLDINGS LLCMANAGER—
D'ANNA, WILLIAM ANTHONYFINOP AND PRINCIPAL4744170
ROWAN, KATHLEEN ANNECCO3180771

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2015About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2024About the Series 7TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2024About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 14 — Compliance Officer Examination

Passed Jan 2024About the Series 14 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 2024About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Jan 2024About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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