HM
Howard L. Margolis
STIFEL, NICOLAUS & COMPANY
Southfield, MI 48034
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CRD#: 1619978
HM
Professional summary
Howard Louis Margolis is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Southfield, Michigan.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Howard has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. St. Joseph's Helpers, 26281 E. River Road, Grosse Ile, MI 48138; Non-profit, volunteer organization to provide those in need with basic home maintenance and repairs; Board Member; Advisory Oversite; 7/12/22 ; 4 hr/qtr; Not During Securities Trading Hours; Not Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Howard Louis Margolis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Howard Louis 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
December 3, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034RIA
BD
CRD#: 793
Southfield, MI
Current
December 3, 2021 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034RIA
BD
CRD#: 793
Southfield, MI
Past
August 20, 2020 - September 23, 2021
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
BLOOMFIELD, MI
Past
August 20, 2020 - September 23, 2021
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
BLOOMFIELD, MI
Past
August 15, 2019 - July 15, 2020
CITIZENS PRIVATE WEALTH
RIA
CRD#: 106743
SOUTHFIELD, MI
Past
June 9, 2015 - July 15, 2020
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SOUTHFIELD, MI
Past
June 5, 2015 - July 15, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SOUTHFIELD, MI
Past
May 22, 2013 - January 21, 2015
CIG ASSET MANAGEMENT, INC.
RIA
CRD#: 123609
SOUTHFIELD, MI
Past
March 20, 2013 - January 21, 2015
CIG SECURITIES
BD
CRD#: 129864
SOUTHFIELD, MI
Past
January 5, 2011 - January 30, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTHFIELD, MI
Past
August 17, 2007 - January 30, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTHFIELD, MI
Past
July 1, 2006 - January 5, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
TROY, MI
Past
September 14, 2004 - July 1, 2006
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
TROY, MI
Past
January 27, 1998 - July 20, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 16, 1993 - September 21, 1993
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 16, 1993 - February 23, 1996
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
June 18, 1993 - January 4, 1994
WOODWARD SECURITIES CORPORATION
BD
CRD#: 25579
Past
October 12, 1989 - June 26, 1991
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
January 21, 1987 - October 24, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Florida(12/17/2021)
RR
Georgia(10/23/2024)
RR
Illinois(4/8/2022)
RR
Indiana(1/11/2022)
IAR
Michigan(12/3/2021)
RR
Michigan(12/20/2021)
RR
Missouri(7/20/2022)
RR
Ohio(12/6/2021)
RR
Pennsylvania(6/6/2023)
RR
South Dakota(8/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Southfield, MI 48034TRUST BUT VERIFY
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Contact information
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