Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Martha? Claim Your ProfileMartha Maugh is an Investment Advisor Representative with over 20 years of experience in the financial industry. Martha has been registered with Morgan Stanley since 2009. Prior to joining Morgan Stanley, Martha was employed with CITIGROUP GLOBAL MARKETS INC. and BANC OF AMERICA INVESTMENT SERVICES, INC.. Martha currently holds FINRA registrations for Series 3, 7, 52 and SIE and is also registered in 54 states for securities and investment advisory services.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
04/15/2020 - Present
Morgan Stanley (Chicago IL)
IL
04/15/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
MA
09/12/2002 - 04/18/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
03/02/2001 - 09/13/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
08/16/2000 - 03/15/2001
UBS WARBURG LLC (NEW YORK NY)
BOTH
Issued 09/15/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2006
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/09/1993
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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