Wayne S. 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.
Wayne Scott Margolies was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2006. Wayne had worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2019 - January 20, 2021
GFI SECURITIES LLC
March 31, 2016 - July 3, 2017
TRADITION SECURITIES AND DERIVATIVES LLC
August 11, 2014 - April 25, 2016
TFS DERIVATIVES LLC
March 12, 2012 - May 29, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 1, 2006 - March 1, 2012
GFI SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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