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JM

Jeffrey S. Margolin

FIRST TRUST PORTFOLIOS L.P.
WHEATON, IL 60187
Some features on this profile are disabled
CRD#: 2658264
JM

Professional summary

Jeffrey Stephen Margolin, who also goes by Jeff Margolin, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2002. Jeffrey has worked at 2 firms and has passed the SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Margolin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Stephen Margolin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 22, 2005 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187
BD
CRD#: 28519
WHEATON, IL
Past

October 15, 2002 - March 11, 2005

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/11/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/14/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FIRST TRUST PORTFOLIOS L.P.
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.

CRD#: 28519 / SEC#: , 8-43843

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Mailing Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Phone number
(630) 765-8000
Established
Illinois since 05/10/1991
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRACE PARTNERS OF DUPAGE L.P.LIMITED PARTNER
BOWEN, JAMES ALLENCHIEF EXECUTIVE OFFICER1123316
BOWEN, MARISA ANNMANAGING DIRECTOR1949032
DYKAS, JAMES MARTINCHIEF FINANCIAL OFFICER / MANAGING DIRECTOR2264809
JACKSON, ERIK SORENCHIEF COMPLIANCE OFFICER2950559
JARDINE, WILLIAM SCOTTGENERAL COUNSEL2609233
MCGAREL, DAVID GERARDMANAGING DIRECTOR2945880
MCGAREL, DAVID GERARDCHIEF OPERATING OFFICER2945880
ROGGENSACK, ANDREW SCOTTPRESIDENT1582059
THE CHARGER CORPORATIONGENERAL PARTNER

Disclosures

Regulatory Event4

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

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519Wheaton, IL 60187

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