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Detailed Report
Cary Michael Margolis
CRD#: 3201674
IA
Investment Adviser
B
Broker
NEXT FINANCIAL GROUP, INC.CRD#: 46214 70 S. Lake Street
Pasadena, CA 91101
CADARET, GRANT & CO., INC.CRD#: 10641 70 S. Lake Ave
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420264 FIRMS2024 - Present (1 year)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2018 - Present (7 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2011 - 2018 (6 years)BR.W. TOWT & ASSOCIATES (CRD# 128837)2010 - 2011 (<1 year)BING FINANCIAL PARTNERS, INC. (CRD# 2882)2007 - 2008 (1 year)BNEVWEST SECURITIES CORPORATION (CRD# 46464)2000 - 2007 (7 years)BSECURITIES AMERICA, INC. (CRD# 10205)1999 - 2000 (1 year)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2018 - 2024 (6 years)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2015 - 2018 (2 years)
License(s)

State Registrations

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Alabama 4/15/2024
B
Montana 4/15/2024
B
Alaska 4/15/2024
B
Nebraska 4/15/2024
B
Arizona 4/15/2024
B
New Hampshire 4/15/2024
B
Arkansas 4/15/2024
B
New Jersey 4/15/2024
B
California 3/13/2018
B
New Mexico 4/15/2024
IA
California 4/10/2024
B
New York 4/15/2024
B
Colorado 4/15/2024
B
North Carolina 4/15/2024
B
Connecticut 4/15/2024
B
North Dakota 4/15/2024
B
Delaware 4/15/2024
B
Ohio 4/15/2024
B
District of Columbia 4/15/2024
B
Oklahoma 4/15/2024
B
Florida 4/15/2024
B
Oregon 4/15/2024
B
Georgia 4/15/2024
B
Pennsylvania 4/15/2024
B
Hawaii 4/15/2024
B
Puerto Rico 4/15/2024
B
Idaho 4/15/2024
B
Rhode Island 4/15/2024
B
Illinois 4/15/2024
B
South Carolina 4/15/2024
B
Indiana 4/15/2024
B
South Dakota 4/15/2024
B
Iowa 4/15/2024
B
Tennessee 4/15/2024
B
Kansas 4/15/2024
B
Texas 4/15/2024
B
Kentucky 4/15/2024
B
Utah 4/15/2024
B
Louisiana 4/15/2024
B
Vermont 4/15/2024
B
Maine 4/15/2024
B
Virgin Islands 4/15/2024
B
Maryland 4/15/2024
B
Virginia 4/15/2024
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Massachusetts 4/15/2024
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Washington 4/15/2024
B
Michigan 4/15/2024
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West Virginia 4/15/2024
B
Minnesota 4/15/2024
B
Wisconsin 4/15/2024
B
Mississippi 4/15/2024
B
Wyoming 4/15/2024
B
Missouri 4/15/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
CADARET, GRANT & CO., INC. (CRD#:10641)
70 S. Lake Ave, Pasadena, CA 91101
100 Madison Street Suite 1300, SYRACUSE, NY 13202
Registered with this firm since 4/15/2024
IA
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
70 S. Lake Street, Pasadena, CA 91101
11740 KATY FREEWAY SUITE 620, HOUSTON, TX 77079
Registered with this firm since 4/15/2024
B
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
70 S. Lake Street, Pasadena, CA 91101
11740 KATY FREEWAY SUITE 620, HOUSTON, TX 77079
Registered with this firm since 4/15/2024
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 4/10/2024
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 3/12/2018
Previous Registration(s)
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 03/13/2018 - 04/08/2024 WESTERN INTERNATIONAL SECURITIES (CRD#:39262) PASADENA, CA
IA
 07/08/2015 - 01/02/2018 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) LOS ANGELES, CA
B
 04/13/2011 - 01/02/2018 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 11/23/2010 - 04/15/2011 R.W. TOWT & ASSOCIATES (CRD#:128837)
FINRA expelled the firm on 03/14/2013
SAN DIEGO, CA
B
 08/03/2007 - 11/24/2008 ING FINANCIAL PARTNERS, INC. (CRD#:2882) LAS VEGAS, NV
B
 06/22/2000 - 07/17/2007 NEVWEST SECURITIES CORPORATION (CRD#:46464)
FINRA expelled the firm on 08/12/2008
LAS VEGAS, NV
B
 06/07/1999 - 06/09/2000 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.