MW
Margaret L. Wheeler
DAIWA CAPITAL MARKETS AMERICA
New York, NY 10020
Some features on this profile are disabled
CRD#: 7446081
MW
Professional summary
Margaret Lee Wheeler, who also goes by Maggie Wheeler, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Margaret is registered as a RR (Registered Representative) and started their career in finance in 2021. Margaret has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Maggie Wheeler
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.
CRS (Client Relationship Summary) - BD
Click below to view Margaret Lee Wheeler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2023 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1576
New York, NY
Past
November 9, 2021 - January 17, 2023
BONDS.COM LLC
BD
CRD#: 43875
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/25/2024)
RR
Alaska(3/10/2025)
RR
Arizona(3/10/2025)
RR
Arkansas(3/10/2025)
RR
California(10/3/2024)
RR
Colorado(3/10/2025)
RR
Connecticut(4/13/2023)
RR
Delaware(3/10/2025)
RR
District of Columbia(3/10/2025)
RR
Florida(4/24/2024)
RR
Georgia(9/21/2023)
RR
Hawaii(3/10/2025)
RR
Idaho(7/26/2024)
RR
Illinois(3/10/2025)
RR
Indiana(3/10/2025)
RR
Iowa(10/1/2024)
RR
Kansas(3/10/2025)
RR
Kentucky(3/10/2025)
RR
Louisiana(3/10/2025)
RR
Maine(3/10/2025)
RR
Maryland(3/10/2025)
RR
Massachusetts(3/10/2025)
RR
Michigan(1/13/2025)
RR
Minnesota(3/10/2025)
RR
Mississippi(1/25/2024)
RR
Missouri(3/10/2025)
RR
Montana(3/10/2025)
RR
Nebraska(3/10/2025)
RR
Nevada(3/10/2025)
RR
New Hampshire(3/10/2025)
RR
New Jersey(4/4/2023)
RR
New Mexico(3/10/2025)
RR
New York(1/17/2023)
RR
North Carolina(3/10/2025)
RR
North Dakota(3/10/2025)
RR
Ohio(3/11/2025)
RR
Oklahoma(3/10/2025)
RR
Oregon(3/10/2025)
RR
Pennsylvania(9/21/2023)
RR
Puerto Rico(3/10/2025)
RR
Rhode Island(3/10/2025)
RR
South Carolina(3/10/2025)
RR
South Dakota(3/10/2025)
RR
Tennessee(2/13/2025)
RR
Texas(5/30/2024)
RR
Utah(3/10/2025)
RR
Vermont(3/10/2025)
RR
Virginia(3/10/2025)
RR
Washington(3/10/2025)
RR
West Virginia(3/10/2025)
RR
Wisconsin(10/30/2024)
RR
Wyoming(3/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/9/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DC
DAIWA CAPITAL MARKETS AMERICA INC.
DAIWA CAPITAL MARKETS AMERICA INC. | DAIWA SECURITIES AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 49th Fl, New York, NY, 10020
Phone number
(212) 612-7000
Established
New York since 12/08/1964
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
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.
