Adam B. Margolin
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.
Adam Barney Margolin was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1984. Adam had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2019 - September 22, 2020
LANDOLT SECURITIES, INC.
February 1, 2017 - April 4, 2018
GEORGE K. BAUM & COMPANY
January 20, 2010 - October 12, 2010
RICHFIELD ORION FINANCIAL ADVISORS, INC.
March 18, 2008 - June 21, 2016
RICHFIELD ORION INTERNATIONAL, INC.
December 24, 1999 - February 13, 2007
CBC SECURITIES, INC.
January 4, 1995 - January 15, 1998
PATON WAGNER CORPORATION
January 4, 1991 - January 22, 1993
COUGHLIN & COMPANY, INC.
September 4, 1990 - September 24, 1990
WELLS FARGO CLEARING SERVICES, LLC
November 21, 1986 - September 4, 1990
BOETTCHER & COMPANY, INC.
July 21, 1984 - September 17, 1986
DIONES, BROOM, BATTREALL & BOEDEKER, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
