Kenneth H. Margolis
Professional summary
Kenneth Harry Margolis, who also goes by Kenneth Margolis, is a registered financial professional currently at CASTLE PLACEMENT, LLC located in Syosset, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Harry Margolis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2015 - Present
CASTLE PLACEMENT, LLC
Office #1: 527 Split Rock Rd Oyster Bay Cove, Syosset, NY 11791Office #2: 1460 Broadway, New York, NY 10036December 2, 2009 - November 6, 2015
STONECASTLE SECURITIES, LLC
January 14, 2009 - May 20, 2009
GLEACHER & COMPANY SECURITIES, INC.
October 26, 2004 - October 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2000 - October 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1994 - September 1, 1999
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/22/2020)
(9/3/2020)
(8/28/2020)
(9/11/2020)
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(11/5/2020)
(11/16/2020)
(1/4/2021)
(8/28/2020)
(3/15/2021)
(6/30/2020)
(8/28/2020)
(11/12/2020)
(8/28/2020)
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(9/21/2020)
(8/12/2020)
(11/17/2020)
(8/28/2020)
(9/18/2020)
(8/28/2020)
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(8/28/2020)
(9/8/2020)
(9/8/2020)
(10/7/2020)
(8/28/2020)
(9/15/2020)
(10/5/2015)
(8/28/2020)
(10/28/2020)
(8/28/2020)
(8/28/2020)
(9/4/2020)
(8/28/2020)
(1/11/2021)
(9/8/2020)
(9/3/2020)
(9/3/2020)
(8/28/2020)
(8/28/2020)
(8/7/2020)
(9/8/2020)
(8/28/2020)
(8/28/2020)
(9/9/2020)
(8/28/2020)
(9/8/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CASTLE PLACEMENT, LLC
CRD#: 189511 / SEC#: , 8-69612
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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