Harrison Margolin

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CRD#: 1198868

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.

Harrison Margolin was a registered financial professional .

Harrison is a previously registered financial professional and started their career in finance in 1983. Harrison had worked at 13 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 7, 2004 - July 7, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

March 24, 2004 - July 30, 2004

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

November 21, 2000 - September 11, 2002

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

March 16, 2000 - December 6, 2000

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

April 19, 1998 - December 8, 1998

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

September 23, 1996 - March 11, 1998

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

April 13, 1994 - September 30, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 13, 1992 - March 31, 1994

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 7, 1991 - April 22, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

May 22, 1990 - December 14, 1990

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

September 11, 1989 - May 25, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 15, 1988 - September 23, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 23, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 5, 1986 - June 30, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

May 6, 1985 - September 23, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 19, 1984 - May 13, 1985

J. B. HANAUER & CO.

CRD#: 6958

Past

October 20, 1983 - May 1, 1984

HALPERT AND COMPANY, INC.

CRD#: 7094

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Harrison Margolin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SALOMON GREY FINANCIAL CORPORATION

FIRST ALLIED SECURITIES, INC.

JOSEPHTHAL & CO., INC.

JWGENESIS SECURITIES, INC.

SUNPOINT SECURITIES, INC.

GRUNTAL & CO., L.L.C.

JOSEPHTHAL & CO., INC.

GRUNTAL & CO., L.L.C.

J. B. HANAUER & CO.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

J. B. HANAUER & CO.

HALPERT AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/2004

Series 7

Date: 10/15/1983

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

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