LM
Lance D. Margolis
FIDELITY BROKERAGE SERVICES LLC
Warrington, PA 18976-3401
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CRD#: 4906969
LM
Professional summary
Lance D. Margolis, CIMA®, who also goes by Lance Davis Margolis, Lance Margolis, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Warrington, Pennsylvania.
Lance is registered as a RR (Registered Representative) and started their career in finance in 2005. Lance has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lance Davis Margolis | Lance Margolis
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.
CRS (Client Relationship Summary) - BD
Click below to view Lance D. Margolis'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®
Experience
Current
November 5, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1520 Main St, Ste 201, Warrington, PA 18976-3401BD
CRD#: 7784
Warrington, PA
Past
July 29, 2015 - October 27, 2020
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
Wayne, PA
Past
September 7, 2006 - July 23, 2015
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
May 10, 2006 - September 18, 2006
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
PHILADELPHIA, PA
Past
May 10, 2006 - September 18, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
PHILADELPHIA, PA
Past
June 28, 2005 - March 3, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
May 25, 2005 - June 15, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 25, 2005 - June 15, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/5/2020)
RR
Alaska(11/5/2020)
RR
Arizona(11/5/2020)
RR
Arkansas(11/5/2020)
RR
California(11/5/2020)
RR
Colorado(11/5/2020)
RR
Connecticut(11/5/2020)
RR
Delaware(11/5/2020)
RR
District of Columbia(11/5/2020)
RR
Florida(11/5/2020)
RR
Georgia(11/5/2020)
RR
Hawaii(11/5/2020)
RR
Idaho(11/5/2020)
RR
Illinois(11/5/2020)
RR
Indiana(11/5/2020)
RR
Iowa(11/5/2020)
RR
Kansas(11/5/2020)
RR
Kentucky(11/5/2020)
RR
Louisiana(11/5/2020)
RR
Maine(11/5/2020)
RR
Maryland(11/5/2020)
RR
Massachusetts(11/5/2020)
RR
Michigan(11/5/2020)
RR
Minnesota(11/5/2020)
RR
Mississippi(11/5/2020)
RR
Missouri(11/5/2020)
RR
Montana(11/5/2020)
RR
Nebraska(11/5/2020)
RR
Nevada(11/5/2020)
RR
New Hampshire(11/5/2020)
RR
New Jersey(11/5/2020)
RR
New Mexico(11/5/2020)
RR
New York(11/5/2020)
RR
North Carolina(11/5/2020)
RR
North Dakota(11/5/2020)
RR
Ohio(11/5/2020)
RR
Oklahoma(11/5/2020)
RR
Oregon(11/5/2020)
RR
Pennsylvania(11/5/2020)
RR
Puerto Rico(11/5/2020)
RR
Rhode Island(11/5/2020)
RR
South Carolina(11/5/2020)
RR
South Dakota(11/5/2020)
RR
Tennessee(11/5/2020)
RR
Texas(11/5/2020)
RR
Utah(11/5/2020)
RR
Vermont(11/5/2020)
RR
Virgin Islands(11/5/2020)
RR
Virginia(11/5/2020)
RR
Washington(11/5/2020)
RR
West Virginia(11/5/2020)
RR
Wisconsin(11/5/2020)
RR
Wyoming(11/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
