Thomas S. Margulis
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.
Thomas Steven Margulis, who also goes by Tom Margulis, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 3 firms and has passed the Series 65, Series 7TO, Series 3 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
June 30, 2022 - November 1, 2023
VIGILANT DISTRIBUTORS, LLC
November 29, 2010 - December 31, 2023
CONWAY INVESTMENT SOLUTIONS
November 23, 2004 - September 24, 2010
ASSET CONSULTING GROUP, 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
Exams
Series 7TO
Date: 6/30/2022
General Securities Representative ExaminationCurrent Firm
VIGILANT DISTRIBUTORS, LLC
CRD#: 285573 / SEC#: , 8-69854
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
