Harvey S. Martin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harvey Seward Martin was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1981. Harvey had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2013 - March 13, 2018
CABOT LODGE SECURITIES LLC
March 11, 2010 - September 24, 2013
ALLIED BEACON PARTNERS, INC.
September 9, 2005 - March 13, 2018
CL WEALTH MANAGEMENT LLC
August 26, 2005 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
November 6, 1997 - August 26, 2005
INVESTORS SECURITY COMPANY, INC.
January 28, 1994 - July 26, 2005
CAMBRIDGE ASSET MANAGEMENT, INC.
May 28, 1993 - January 10, 1994
AMERIPRISE ADVISOR SERVICES, INC.
November 27, 1992 - May 14, 1993
INVEST FINANCIAL CORPORATION
July 6, 1987 - May 6, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 6, 1987 - May 6, 1992
EQUITABLE ADVISORS, LLC
July 29, 1981 - June 19, 1987
BRANCH, CABELL & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/20/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
