Individual Firm
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MARGARET MARY WHELEHAN
MARGARET MARY MEYER, MARGARET MEYER, MARGARET M WHELEHAN
CRD#: 4353279
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1816 PENFIELD ROAD
PENFIELD, NY 14526
PENFIELD, NY 14526
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1816 PENFIELD ROAD
PENFIELD, NY 14526
PENFIELD, NY 14526
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
California 3/14/2022
IA
New York 3/31/2021
B
Florida 1/3/2019
B
Texas 4/11/2023
IA
New Jersey 4/23/2018
IA
Texas 4/11/2023
B
New Jersey 9/6/2018
B
Virginia 7/5/2022
B
New York 9/5/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 4/23/2018
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Registered with this firm since 4/17/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/14/2008 - 09/06/2017 | CONCORD, CA | |
B | 06/18/2007 - 03/28/2014 | PITTSFORD, NY | |
IA | 07/12/2006 - 05/31/2007 | EAST ROCHESTER, NY | |
B | 01/01/2005 - 05/31/2007 | EAST ROCHESTER, NY | |
B | 08/04/2004 - 01/01/2005 | NEW YORK, NY | |
B | 01/24/2002 - 07/23/2004 | NAPA, CA | |
B | 03/05/2001 - 01/09/2002 | NEW YORK, NY |
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B
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.
IA
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.