David M. Margules
Professional summary
David Michael Margules was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, David had worked at 7 firms, which includes FIRST UNITED EQUITIES CORPORATION, BLUESTONE CAPITAL CORP., RICKEL & ASSOCIATES INC., STRATTON OAKMONT INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 1997 - November 7, 1997
FIRST UNITED EQUITIES CORPORATION
March 29, 1996 - June 4, 1997
BLUESTONE CAPITAL CORP.
September 5, 1995 - April 2, 1996
RICKEL & ASSOCIATES, INC.
June 10, 1992 - July 19, 1995
BLUESTONE CAPITAL CORP.
July 23, 1990 - May 5, 1992
STRATTON OAKMONT INC.
October 12, 1988 - August 13, 1990
LEHMAN BROTHERS INC.
January 5, 1987 - October 19, 1988
UBS FINANCIAL SERVICES INC.
April 23, 1985 - November 28, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST UNITED EQUITIES CORPORATION
CRD#: 36398 / SEC#: , 8-47212
Contact information
Documents
Red Flags
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