David A. Margulies
Professional summary
David Alan Margulies, who also goes by David Alan Margulies, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Alan Margulies's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2025 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017August 2, 2019 - December 10, 2024
PIPER SANDLER & CO.
January 28, 2009 - December 31, 2012
PRAGMA LLC
May 4, 2007 - August 2, 2019
WEEDEN & CO.L.P.
June 30, 2005 - May 1, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 6, 2003 - May 17, 2005
HARBORSIDE SECURITIES, LLC
July 25, 2001 - October 16, 2002
KNIGHT CAPITAL AMERICAS, L.P.
May 16, 2000 - May 9, 2001
ROBERTSON STEPHENS, INC.
November 12, 1999 - May 31, 2000
KNIGHT CAPITAL AMERICAS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/26/2025)
(3/19/2025)
(1/14/2025)
(1/31/2025)
(4/4/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/11/2002
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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