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JM

Jessica L. Margolis

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CRD#: 5366840
JM

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.

Jessica Leigh Margolis, who also goes by Jessica Leigh Davis, Jessica Margolis, was a registered financial professional .

Jessica is a previously registered financial professional and started their career in finance in 2007. Jessica had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jessica Leigh Davis | Jessica 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2015 - June 19, 2017

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
NEW YORK,, NY
Past

October 6, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
NEW YORK,, NY
Past

April 12, 2012 - September 9, 2013

FAMILY MANAGEMENT SECURITIES, LLC

BD
CRD#: 44319
NEW YORK, NY
Past

January 21, 2009 - March 29, 2012

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

September 22, 2008 - March 29, 2012

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 23, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA
CRD#: 7506
NEW YORK, NY
Past

September 26, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
RR
IAR
Series 66
Date: 1/22/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2007
General Securities Representative Examination

Current Firm

CO
CAPITAL ONE INVESTING, LLC
CAPITAL ONE INVESTING, LLC | SHAREBUILDER SECURITIES CORPORATION | NETSTOCK INVESTMENT CORPORATION | ING DIRECT INVESTING, INC. | CAPITAL ONE SHAREBUILDER, INC.

CRD#: 45744 / SEC#: , 8-51160

BD
Terminated by SEC on 08/02/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL INVESTING, LLCPARENT COMPANY & MEMBER
BARBANO, LYNLEY ESTELLEPRINCIPAL OPERATIONS OFFICER2239052
COMO, MONALISA RAASSPRESIDENT & CHIEF OPERATING OFFICER2536504
CONSTANTINO, KRISTEN DANIELLECHIEF COMPLIANCE OFFICER3001473
MARTIN, ALEX MICHAELFINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER5639666

Disclosures

Regulatory Event3

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

CAPITAL ONE INVESTING, LLC

CRD#: 45744

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