Jeff E. Margolis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeff Eliot Margolis was a registered financial professional .
Jeff is a previously registered financial professional and started their career in finance in 1983. Jeff had worked at 10 firms and has passed the Series 63, Series 99TO, Series 72, Series 79TO, SIE, Series 7, Series 52, Series 14, Series 4, Series 53, Series 24, Series 27 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1995 - July 9, 2021
AURORA CAPITAL LLC
December 2, 1994 - May 8, 1995
SSC NY CORP.
August 28, 1992 - October 25, 1994
D. BLECH & COMPANY, INCORPORATED
April 23, 1991 - August 14, 1992
FUNDAMENTAL CORPORATE BOND BROKERS
April 23, 1991 - August 14, 1992
FUNDAMENTAL BROKERS
July 31, 1989 - March 15, 1990
BCA SECURITIES, L.P.
August 12, 1987 - April 14, 1989
FUNDAMENTAL BROKERS
April 17, 1985 - April 13, 1989
FUNDAMENTAL BROKERS INTERNATIONAL INC.
June 14, 1984 - April 13, 1989
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
October 18, 1983 - April 13, 1989
DAHLKE & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 54FN
Date: 10/15/1983
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
AURORA CAPITAL LLC
CRD#: 37924 / SEC#: , 8-48069
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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