Martin A. Barth
Professional summary
Martin Allan Barth was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Martin Allan Barth, who also goes by Martin Allen Barth, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1998. Martin had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2022 - April 21, 2025
NI ADVISORS
September 20, 2018 - March 23, 2022
SW FINANCIAL
May 22, 2018 - October 2, 2018
JOSEPH STONE CAPITAL L.L.C.
November 5, 2016 - May 14, 2018
WINDSOR STREET CAPITAL, LP
July 29, 2016 - November 1, 2016
TRIDENT PARTNERS LTD.
February 26, 2013 - August 4, 2016
WINDSOR STREET CAPITAL, LP
March 1, 2011 - February 25, 2013
EQUITABLE ADVISORS, LLC
May 28, 2009 - March 1, 2011
CAPITOL SECURITIES MANAGEMENT, INC.
July 31, 2008 - August 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2005 - June 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 25, 1998 - May 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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