Margaret A. Yoos
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 Yoos, who also goes by Margaret Ann Mang, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1981. Margaret had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2013 - July 28, 2021
CITIZENS SECURITIES, INC.
November 26, 2013 - July 28, 2021
CITIZENS SECURITIES, INC.
January 4, 2006 - November 26, 2013
KEY INVESTMENT SERVICES LLC
January 3, 2006 - November 26, 2013
KEY INVESTMENT SERVICES LLC
May 14, 1999 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
May 14, 1999 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
March 3, 1995 - May 14, 1999
KEY INVESTMENTS INC.
September 26, 1994 - March 3, 1995
SOCIETY INVESTMENTS, INC.
January 17, 1991 - August 9, 1994
BANC ONE SECURITIES CORPORATION
January 4, 1988 - January 18, 1991
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1981 - January 13, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
