Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Margaret? Claim Your ProfileMargaret Sweeney is a financial advisor registered with Principal Securities, Inc. with more than 20 years of experience. Margaret is active in both the Broker-Dealer and Investment Advisor space. Margaret has been a financial advisor since 1993 and holds a Series 7, 6, 55 and SIE licenses. Margaret has been registered with Principal Securities, Inc. since June 2021, and previously held a position at WELLS FARGO CLEARING SERVICES, LLC. Margaret has a proven track record of providing financial advice to individuals and businesses. Margaret's areas of expertise include financial planning, pension consulting, and investment management.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
06/08/2021 - Present
Principal Securities, Inc. (Charlotte NC)
NC
03/03/2020 - 05/20/2021
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
04/27/2017 - 04/24/2019
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
12/07/2015 - 05/02/2017
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NY
08/27/2009 - 01/28/2014
SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)
NY
04/15/2005 - 10/05/2007
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
09/25/2003 - 11/08/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
04/09/1999 - 11/29/2001
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
01/03/1996 - 04/06/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
07/20/1994 - 12/31/1995
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
09/22/1993 - 07/13/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 10/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/21/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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