Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Margaret? Claim Your ProfileMargaret Baldwin is a financial advisor registered with Raymond James & Associates, Inc. She has been working in the industry since April 1979. Margaret is registered in California, Texas, and several other states. She holds Series 7, 63, 65, and SIE licenses and is a qualified Investment Advisor Representative. Margaret has previously worked with D.A. Davidson & Co. and UBS Financial Services Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/22/2024 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
CA
10/25/2017 - 06/06/2024
D.A. DAVIDSON & CO. (NEWPORT BEACH CA)
CA
01/13/2012 - 10/12/2017
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
CA
11/10/1980 - 01/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
NA
04/02/1979 - 11/10/1980
VAN BERGEN & CO., INCORPORATED
IA
Issued 08/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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