John Marginson has been Vice President of Brown, Lisle/Cummings since January 1997, is a control person of the firm and directly owns between 10% and 25% of it.
Brown, Lisle/Cummings, Inc. is a Providence, RI firm with $487M under management, 238 clients and 8 advisers in one office, as of its June 2026 filing.
No adviser firm registrations are on John Marginson’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 6 March 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 April 1990 |
| Series 7 | General Securities Representative Examination | 16 December 1978 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Arthur Marginson
- CRD
- 860727
- Firm
- Brown, Lisle/Cummings · CRD 1331
- Role
- Vice President
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Marginson work?
John Marginson has been Vice President of Brown, Lisle/Cummings, Inc. since January 1997, and is a control person of the firm.
Does John Marginson have a current investment-adviser registration?
John Marginson has a current broker registration and no current investment-adviser registration.
What exams has John Marginson passed?
John Marginson has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 99TO. The earliest, the Series 7, was passed in December 1978. FINRA credited John Marginson with the SIE, which began in October 2018.
Is John Marginson registered with FINRA?
Yes. John Marginson has a current broker registration, under CRD 860727.
Source: FINRA BrokerCheck
How can I verify John Marginson’s record?
Search CRD 860727 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Marginson’s full registration record.