Marc J. Margolies
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.
Marc Jonathan Margolies, who also goes by Marcc Jonathan Margolies, Mark Jonathan Margolies, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2018 - January 17, 2020
OPPENHEIMER & CO. INC.
January 16, 2018 - January 17, 2020
OPPENHEIMER & CO. INC.
April 11, 2016 - May 15, 2017
MANAGED ACCOUNT SERVICES, LLC
October 23, 2015 - November 3, 2015
FIDELITY BROKERAGE SERVICES LLC
December 17, 2012 - January 9, 2015
HERBERT J. SIMS & CO, INC.
March 6, 2012 - December 21, 2012
LPL FINANCIAL LLC
February 28, 2012 - December 21, 2012
LPL FINANCIAL LLC
November 28, 2011 - March 5, 2012
NFSG CORPORATION
October 25, 2011 - March 5, 2012
NEWBRIDGE SECURITIES CORPORATION
August 19, 2010 - August 16, 2011
BROKERSXPRESS LLC
August 17, 2010 - August 16, 2011
BROKERSXPRESS LLC
April 15, 2003 - August 23, 2010
UBS FINANCIAL SERVICES INC.
April 14, 2003 - August 23, 2010
UBS FINANCIAL SERVICES INC.
July 8, 1997 - July 30, 1997
RAYMOND JAMES & ASSOCIATES, INC.
January 3, 1997 - April 21, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1994 - April 21, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - July 6, 1994
CITIGROUP GLOBAL MARKETS INC.
January 21, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 8
Date: 3/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
