Robert R. Margolin
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.
Robert Rymer Margolin, who also goes by Bob Margolin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2016 - February 5, 2020
TRUIST ADVISORY SERVICES, INC.
February 10, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 1, 2016 - February 5, 2020
TRUIST INVESTMENT SERVICES, INC.
February 2, 2009 - February 19, 2016
RBC CAPITAL MARKETS, LLC
January 16, 2009 - February 19, 2016
RBC CAPITAL MARKETS, LLC
May 12, 2004 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2004 - January 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 17, 2003 - May 17, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 17, 2004
CITIGROUP GLOBAL MARKETS INC.
May 8, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 13, 1970 - February 26, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
March 25, 1970 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
PC
Date: 11/5/1982
AMEX Put and Call ExamSeries 000
Date: 3/25/1970
General Securities Principal ExaminationSeries 1
Date: 3/25/1970
Registered Representative ExaminationSeries 00
Date: 4/17/1974
General Securities Principal ExaminationCurrent Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
