Charles Margolis

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Deerfield, IL
• 11/2016 → 06/2019
  Wells Fargo Clearing Services, Llc
  Deerfield, IL
• 06/2019 → Present
  Wells Fargo Advisors Financial Network, Llc
  Highland Park, IL

Previous Registrations

• 2007-02-02 → 2019-06-06
  Wells Fargo Clearing Services, Llc
  Deerfield, IL
  Highland Park, IL
• 2002-05-02 → 2007-02-06
  Morgan Stanley Dw Inc.
  Riverwoods, IL
  Riverwoods, IL

Other Businesses

CO-TRUSTEE FOR GRANDMOTHER; INVESTMENT RELATED; GLENCOE, IL; START DATE 9/2013; 1 HR PER MONTH; 0 HRS DURING TRADING.CO-TRUSTEE FOR GRANDFATHER; INVESTMENT RELATED; GLENCOE, IL; START DATE 9/2013; 1 HR PER MONTH; 0 HRS DURING TRADING. EXECUTOR FOR PARENT'S ESTATE; INV. RELATED; LAKE FOREST, IL; START DATE 10/2016; 2 HRS PER MONTH; 0 HRS DURING TRADING. TRUSTEE FOR MOTHER'S TRUST; INV. RELATED; LAKE FOREST, IL; START DATE 1/2018; 1 HR PER MONTH; 0 HRS DURING TRADING. CHARJEN CORP, INVT RELATED, HIGHLAND PARK, IL, 100% OWNERSHIP, START DATE 5/10/2019, O HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE. HLM CAPITAL LLC, INVT RELATED, HIGHLAND PARK, IL, 9% OWNERSHIP, START DATE 6/10/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING, TRANSITION TO FINET PRACTICE.; TRUSTEE FOR HLM CAPITAL LLC 401K/PSP, INV RELATED, HIGHLAND PARK, IL, START: 06/01/2019, 2 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE 401K/PSP.; CO-TRUSTEE FOR HLM CAPITAL CASH BALANCE PLAN DBP, INV RELATED, HIGHLAND PARK, IL, START: 1/1/2020, 1 HR/MONTH, 0 HRS DURING TRADING. LAKE FOREST CAUCUS ; NOT INV RELATED;LAKE FOREST,IL; WARD COMMITEE PERSON; START DATE: 04/08/2026; 4 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-04-12
• S63 Uniform Securities Agent State Law Examination
  1995-09-26

Other Names

• Charles B Margolis
• Charles Brent Margolis
• Charlie Margolis