James N. Martin

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CRD#: 1016370

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.

James Nicholas Martin, who also goes by Jim Martin, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Martin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 14, 2014 - January 8, 2020

ARC GROUP SECURITIES LLC

CRD#: 132026

GREENBRAE, CA

Past

February 13, 2013 - June 29, 2015

FULL COMPASS INVESTMENT ADVISORS

RIA

CRD#: 165681

SAUSALITO, CA

Past

November 22, 2010 - October 2, 2012

SECURITY RESEARCH ASSOCIATES, INC.

CRD#: 8200

SAN FRANCISCO, CA

Past

April 7, 2009 - September 4, 2009

BOUSTEAD SECURITIES, LLC

CRD#: 141391

IRVINE, CA

Past

April 3, 2006 - May 10, 2007

CAPITAL ACCESS, LTD.

CRD#: 24898

SEATTLE, WA

Past

August 27, 2002 - March 24, 2004

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

March 6, 1997 - June 4, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 7, 1994 - February 14, 1997

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

January 14, 1993 - November 17, 1994

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

September 29, 1983 - January 5, 1993

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

October 23, 1981 - January 16, 1984

FOSTER & MARSHALL INC.

CRD#: 321

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/14/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/2/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

ARC GROUP SECURITIES LLC

ARC GROUP SECURITIES LLC | OBJECTIVE EQUITY, LLC

CRD#: 132026 / SEC#: , 8-66541

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

380 Bretano Way, Greenbrae, CA 94904

Mailing Address

380 Bretano Way, Greenbrae, CA 94904

Phone number

(212) 334-6365

Established

New York since 04/06/2004

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARC GROUP US HOLDINGS, LLC	MEMBER
FLEISCHMAN, SAMUEL JAY	CCO	1860709
HANNA, IAN LEE	CEO	7922113
MEGENITY, MELANIE PROCTOR	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	4465319
RIEDEL, DAVID	PRESIDENT/COO	2541129

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James N. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FULL COMPASS INVESTMENT ADVISORS

SECURITY RESEARCH ASSOCIATES, INC.

BOUSTEAD SECURITIES, LLC

CAPITAL ACCESS, LTD.

WELLS FARGO SECURITIES, LLC

DEUTSCHE BANK SECURITIES INC.

FINANCIAL SQUARE PARTNERS

HAMBRECHT & QUIST LLC

MONTGOMERY SECURITIES

FOSTER & MARSHALL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 9

Date: 5/14/2001

Series 10

Date: 5/2/2001

Current Firm

ARC GROUP SECURITIES LLC

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARC GROUP SECURITIES LLC

TRUST BUT VERIFY

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