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Brandon C Margolis

Wells Fargo Clearing Services, LLC

Yorktown Heights, NY

New York, NY

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2021-06-23
  • NJ RA
    APPROVED
    Since 2021-06-23

Branch Locations

1937 Commerce St, Yorktown Heights, NY 10598 • United States

767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Charlotte NC 05/2012 09/2016
First Niagara Bank Kisco NY 05/2012 09/2016
Key Investment Services Llc Manchester CT 09/2016 05/2017
Keybank Baldwin Place NY 09/2016 02/2018
Key Investment Services Llc Poughkeepsie NY 05/2017 02/2018
Wells Fargo Bank, Na Yorktown Heights NY 02/2018 Present
Wells Fargo Clearing Services, Llc Yorktown Heights NY 03/2018 Present
  • 05/2012 → 09/2016
    Lpl Financial
    Charlotte, NC
  • 05/2012 → 09/2016
    First Niagara Bank
    Kisco, NY
  • 09/2016 → 05/2017
    Key Investment Services Llc
    Manchester, CT
  • 09/2016 → 02/2018
    Keybank
    Baldwin Place, NY
  • 05/2017 → 02/2018
    Key Investment Services Llc
    Poughkeepsie, NY
  • 02/2018 → Present
    Wells Fargo Bank, Na
    Yorktown Heights, NY
  • 03/2018 → Present
    Wells Fargo Clearing Services, Llc
    Yorktown Heights, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-04
S63 Uniform Securities Agent State Law Examination 2004-06-29
  • S66 Uniform Combined State Law Examination
    2021-02-04
  • S63 Uniform Securities Agent State Law Examination
    2004-06-29
Other Names
  • Brandon C Margolis
  • Brandon Margolis

View on SEC IAPD

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OSAIC INSTITUTIONS, INC.
JOSEPH P. LUCIA & ASSOCIATES, LLC
CHIASMUS CAPITAL LLC
CANNISTRA FINANCIAL ADVISORS INC.

Other Investors

MARK FIDELIO
PATRICK JOSEPH DEVANEY
John Dacey
Robert Weinberg
James M. Sbarra
Jonathan Leigh Glaser
Liang Wang
DAMIAN PAUL PETTA

Other Offices

LPL FINANCIAL LLC · YORKTOWN HEIGHTS, NY
J.P. MORGAN SECURITIES LLC · YORKTOWN HEIGHTS, NY
EDWARD JONES · YORKTOWN HEIGHTS, NY
COMMONWEALTH FINANCIAL NETWORK · Katonah, NY
LPL FINANCIAL LLC · YORKTOWN HEIGHTS, NY
OSAIC INSTITUTIONS, INC. · Yorktown Heights, NY
J.P. MORGAN SECURITIES LLC · YORKTOWN HEIGHTS, NY
EDWARD JONES · CORTLANDT MANOR, NY

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