JM
Jeffrey M. Margolis
HILLTOP SECURITIES
Sherman Oaks, CA 91403
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CRD#: 1262204
JM
Professional summary
Jeffrey Michael Margolis, who also goes by Jeff Margolis, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Jeffrey has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Margolis
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.
1) 68 Nordhoff Apts. LLC / Real Estate Partnership / November 2017 / Investor /14668 Nordhoff St. Panorama City, CA / no hours during business hours / no hours during non-business hours / no conflicts of interest. 2) Calabasas Country Club Men's Club / Non-investment related / Calabasas, CA / Country Club/Golf Venue / Board Member / Started February 2024 / 4 hrs/mo / Zero during business hours / Maintain golf rules, volunteer to run tournaments and make reports.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Michael Margolis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael Margolis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 10, 2008 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Current
November 10, 2008 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
January 28, 2004 - December 23, 2008
M.L. STERN & CO., LLC.
RIA
CRD#: 8327
BEVERLY HILLS, CA
Past
November 6, 1989 - December 23, 2008
M.L. STERN & CO., LLC.
BD
CRD#: 8327
BEVERLY HILLS, CA
Past
September 22, 1989 - November 28, 1989
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
March 21, 1989 - November 14, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 10, 1985 - April 12, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 23, 1984 - November 5, 1984
M.L. STERN & CO., LLC.
BD
CRD#: 8327
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(8/19/2015)
RR
Arizona(11/10/2008)
RR
Arkansas(9/1/2021)
RR
California(11/10/2008)
IAR
California(11/10/2008)
RR
Colorado(6/7/2017)
RR
Florida(2/15/2012)
RR
Hawaii(5/9/2025)
RR
Idaho(2/11/2014)
RR
Illinois(1/2/2014)
RR
Massachusetts(1/11/2012)
RR
Michigan(1/2/2015)
IAR
Michigan(8/4/2023)
RR
Minnesota(7/13/2023)
IAR
Minnesota(5/5/2025)
RR
Montana(8/5/2021)
RR
Nevada(6/18/2009)
IAR
Nevada(12/6/2023)
RR
New York(2/7/2014)
IAR
New York(3/23/2021)
RR
North Carolina(1/17/2019)
IAR
North Carolina(6/22/2023)
RR
North Dakota(1/17/2019)
RR
Oregon(6/23/2009)
RR
Pennsylvania(8/15/2023)
RR
South Carolina(8/19/2014)
RR
Texas(6/18/2019)
RR
Utah(8/23/2016)
RR
Virginia(12/23/2008)
RR
Washington(11/10/2008)
RR
Wisconsin(9/17/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 953-4000
Established
Delaware since 12/31/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
91
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
