Samuel Margolis
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.
Samuel Margolis, who also goes by Sam Margolis, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1969. Samuel had worked at 8 firms and has passed the Series 63, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2001 - March 29, 2001
GLOBAL FINANCIAL GROUP, INC.
February 21, 2001 - March 28, 2001
PROTECTIVE GROUP SECURITIES CORPORATION
October 24, 2000 - February 9, 2001
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
October 9, 1991 - October 20, 2000
MILLER JOHNSON STEICHEN KINNARD, INC.
December 12, 1988 - October 1, 1991
HAYNE, MILLER FINANCIAL, INC.
June 3, 1977 - December 7, 1988
FUNDAMENTAL EQUITIES CORP.
December 30, 1970 - February 16, 1979
MARGOLIS & CO., INC.
September 3, 1969 - January 18, 1971
LOEWI & CO., 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
Series 1
Date: 6/19/1961
Registered Representative ExaminationSeries 40
Date: 8/20/1969
Registered Principal ExaminationCurrent Firm
GLOBAL FINANCIAL GROUP, INC.
CRD#: 23958 / SEC#: , 8-40814
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 5 |
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.
