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Thomas S. Margulis

VIGILANT DISTRIBUTORS
St. Louis, MO 63105
Some features on this profile are disabled
CRD#: 3150266
TM

Professional summary

Thomas Steven Margulis, who also goes by Tom Margulis, is a registered financial professional currently at VIGILANT DISTRIBUTORS, LLC located in St. Louis, Missouri.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 3 firms and has passed the Series 65, Series 7TO, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Margulis

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 Thomas Steven Margulis's 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

December 12, 2025 - Present

VIGILANT DISTRIBUTORS, LLC

Office #1: 165 N. Meramec, Suite 210, St. Louis, MO 63105
BD
CRD#: 285573
St. Louis, MO
Past

June 30, 2022 - November 1, 2023

VIGILANT DISTRIBUTORS, LLC

BD
CRD#: 285573
CHADDS FORD, PA
Past

November 29, 2010 - December 31, 2023

CONWAY INVESTMENT SOLUTIONS

RIA
CRD#: 154659
CLAYTON, MO
Past

November 23, 2004 - September 24, 2010

ASSET CONSULTING GROUP, LLC

RIA
CRD#: 107574
ST LOUIS , MO

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

State Security Law Exam
IAR
Series 65
Date: 11/22/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/12/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/24/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VIGILANT DISTRIBUTORS, LLC
HERALD INVESTMENT MARKETING, LLC | VIGILANT DISTRIBUTORS, LLC

CRD#: 285573 / SEC#: , 8-69854

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

Main Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Mailing Address
Gateway Corporate Center, Suite 216 223 Wilmington West Chester Pike, Chadds Ford, PA 19317
Phone number
(484) 840-3701
Established
Pennsylvania since 06/13/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CHADDS FORD INVESTMENT MANAGEMENT, LLCOWNER
CHISM, PATRICK ANDREWCEO AND CCO2875421
FAIA, SALVATORE ROCCO IIPRINCIPAL OPERATIONS OFFICER6813402
SCARPATI, GERARDCFO AND PRINCIPAL FINANCIAL OFFICER2313132

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

VIGILANT DISTRIBUTORS, LLC

CRD#: 285573St. Louis, MO 63105

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