Gregory A. 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.
Gregory Alan Margolies, who also goes by Gregory A Margolies, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1997. Gregory had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - March 30, 2016
ARES MANAGEMENT CAPITAL MARKETS LLC
October 20, 2003 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 1997 - January 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 States and Territories)
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.
