Individual Firm
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MARGARET MARY TWOMBLY
MARGARET Z TWOMBLY, MARGARET TWOMBLY, MARGARET MARY ZAJACKOWSKI, MARGARET ZAJACKOWSKI
CRD#: 1172341
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TWOMBLY ASSET MANAGEMENT LLCCRD#: 151610 222 NORTHFIELD ROAD
SUITE 200
NORTHFIELD, IL 60093
SUITE 200
NORTHFIELD, IL 60093
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8/17/2009
Customer Dispute
Denied
3/1/2002
Judgment / Lien
12/1/2001
Judgment / Lien
10/31/1997
Employment Separation After Allegations
State Registrations
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Illinois 10/2/2009
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Utah 10/12/2009
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Registered with this firm since 10/2/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/05/2008 - 10/23/2009 | WILMETTE, IL | |
IA | 07/01/2003 - 09/05/2008 | CHICAGO, IL | |
IA | 01/28/1998 - 07/01/2003 | CHICAGO, IL |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.