Cary M. Margolis
Professional summary
Cary Michael Margolis is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Sherman Oaks, California and BANKERS LIFE SECURITIES, INC. located in Sherman Oaks, California.
Cary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Cary has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Cary Michael Margolis's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2025 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
June 6, 2025 - Present
BANKERS LIFE SECURITIES, INC.
April 15, 2024 - May 30, 2025
NEXT FINANCIAL GROUP, INC.
April 15, 2024 - May 30, 2025
NEXT FINANCIAL GROUP, INC.
April 15, 2024 - May 30, 2025
CADARET, GRANT & CO., INC.
April 10, 2024 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 13, 2018 - April 8, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
March 12, 2018 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
July 8, 2015 - January 2, 2018
NATIONAL PLANNING CORPORATION
April 13, 2011 - January 2, 2018
NATIONAL PLANNING CORPORATION
November 23, 2010 - April 15, 2011
R.W. TOWT & ASSOCIATES
August 3, 2007 - November 24, 2008
VOYA FINANCIAL ADVISORS, INC.
June 22, 2000 - July 17, 2007
NEVWEST SECURITIES CORPORATION
June 7, 1999 - June 9, 2000
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
