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Scott David Margolis

Citizens JMP Securities, LLC

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About Scott David Margolis

Scott Margolis is a registered representative with Citizens JMP Securities, LLC. Scott has over 30 years of experience in the securities industry. Scott holds Series 3, 7, 24, 55, 57TO, and SIE licenses. Scott is registered with the following states: California, Connecticut, Florida, Illinois, Massachusetts, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, Texas, and Washington.

Firm Information

Scott Margolis is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Scott Margolis’s Registration & Firm History

NY

07/28/2016 - Present

Citizens JMP Securities, LLC (NEW YORK NY)

NY

04/25/2012 - 02/03/2016

PIPER JAFFRAY & CO. (NEW YORK NY)

NJ

11/02/2010 - 05/27/2011

GLEACHER & COMPANY SECURITIES, INC. (ROSELAND NJ)

NJ

05/14/2009 - 10/05/2010

WEEDEN & CO.L.P. (SUMMIT NJ)

NY

06/25/2003 - 06/17/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

05/08/1998 - 06/20/2003

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

04/23/1992 - 04/14/1998

UBS SECURITIES LLC (NEW YORK NY)

NY

11/18/1986 - 04/15/1992

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/14/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/28/2002

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/15/1986

Series 3 - National Commodity Futures Examination

BC

Issued 11/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Scott David Margolis.
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