Miguel A. Martinez
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.
Miguel Angel Martinez SR, who also goes by Miguel Angel Martinez, Mike Martinez, was a registered financial professional .
Miguel is a previously registered financial professional and started their career in finance in 1981. Miguel had worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 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
March 28, 2000 - January 10, 2002
CITICORP INVESTMENT SERVICES
January 21, 1999 - March 28, 2000
GRUNTAL & CO., L.L.C.
January 30, 1997 - January 26, 1999
JOSEPHTHAL & CO., INC.
May 14, 1996 - January 2, 1997
FIRST MONTAUK SECURITIES CORP.
April 20, 1993 - May 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1992 - August 25, 1992
JACKSON SECURITIES LLC
December 24, 1991 - May 21, 1992
CC&Q INVESTORS DIVERSIFIED, INC.
July 10, 1989 - January 11, 1990
MML INVESTORS SERVICES, LLC
April 3, 1987 - July 19, 1989
MONY SECURITIES CORPORATION
November 20, 1985 - July 17, 1989
FSC SECURITIES CORPORATION
October 11, 1985 - July 17, 1989
FSC SECURITIES CORPORATION
December 4, 1984 - October 28, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
November 26, 1981 - August 22, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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