Richard P. Martin

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC

MANDEVILLE, LA 70471

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CRD#: 1021864

Professional summary

Richard Paul Martin is a registered financial advisor currently at MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC located in Mandeville, Louisiana and OSAIC WEALTH, INC. located in Mandeville, Louisiana.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Richard has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. INSURANCE: RICHARD P MARTIN, INVESTMENT RELATED, 102 FONTAINBLEAU DR., BLDG.E-1 MANDEVILLE, LA 70471, OWNER, 03/03/1978, 4 HRS/MTH, 1 DURING TRADING HRS, MONITOR CURRENT ANNUITY CONTRACTS/ SELL VARIABLE ANNUITIES. 2. INDEPENDENT RIA: MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES L.L.C., INVESTMENT RELATED, 102 FONTAINBLEAU DRIVE, BLDG. E-1 MANDEVILLE, LA 70471, IAR& CHIEF INVESTMENT OFFICER, NOVEMBER 1999, 200 HRS/MTH, 6.5 DURING TRADING HRS, FULLY RESPONSIBLE FOR CREATING, MONITORING AND MANAGING ALL OF THE EQUITY ORIENTED FEE BASED ACCOUNTS. 3. MARTIN LABOURDETTE REAL ESTATE HOLDNGS LLC; Co-Member NATURE: L.L.C. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2015; 102 FONTAINBLEAU DR., BLDG E-1, Mandeville LA 70471; DESCRIPTION: After renting for a very long time, we decided to buy an office condo to house our business. 4. RICHARD P. MARTIN POSITION: Owner - NATURE: Limited Liability Company^Other - Registered rep INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/03/1981 ADDRESS: 102 Fontainbleau Dr., Bldg E-1, Mandeville LA 70471, United States DESCRIPTION: Monitor current annuity contracts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Martin's CRS (Customer Relationship Summary).

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

Current

February 11, 2003 - Present

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC

Office #1: 102 Fontainbleau Drive Bldg E-1, Mandeville, LA 70471

RIA

CRD#: 110644

MANDEVILLE, LA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 102 Fontainbleau Drive Bldg E-1, Mandeville, LA 70471

RIA

CRD#: 23131

MANDEVILLE, LA

Past

November 30, 2005 - July 20, 2006

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MANDEVILLE, LA

Past

November 30, 2005 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

MANDEVILLE, LA

Past

November 16, 1999 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

July 26, 1993 - November 24, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 11, 1981 - July 28, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/3/2023)

IAR

Louisiana
(8/28/2006)

Louisiana
(11/3/2023)

Mississippi
(11/3/2023)

New York
(11/3/2023)

Oklahoma
(11/3/2023)

IAR

Texas
(2/11/2003)

Texas
(11/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/29/2008

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/1/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/11/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC | RICHARD PAUL MARTIN | NETWORK 401(K) | MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES, LLC

CRD#: 110644 / SEC#: 801-57034

RIA

Registered Investment Advisory firm - (5/8/2003 Terminated)

Louisiana

Registered Investment Advisory firm - (5/29/2003 Approved)

Texas

Registered Investment Advisory firm - (5/20/2003 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

102 Fontainbleau Drive Bldg. E-1, Mandeville, LA 70471

Mailing Address

Phone number

(985) 792-7879

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 63,708,998

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard P. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Paul Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

PAN-AMERICAN FINANCIAL ADVISERS

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2008

Series 65

Date: 6/1/1994

Series 63

Date: 3/8/1982

SIE

Date: 10/1/2018

Series 3

Date: 6/11/1990

Series 7

Date: 11/21/1981

FINRA

Current Firm

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARTIN & ASSOCIATES INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

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