Martin W. Courage
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.
Martin William Courage, CIMA®, who also goes by Marty Courage, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1982. Martin had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 8, Series 4 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 31, 2014 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2014 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 2, 2009 - June 30, 2014
BARCLAYS CAPITAL INC.
September 2, 2009 - June 30, 2014
BARCLAYS CAPITAL INC.
October 1, 2008 - August 13, 2009
J.P. MORGAN SECURITIES LLC
October 1, 2008 - August 13, 2009
J.P. MORGAN SECURITIES LLC
September 7, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 6, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 20, 2004 - August 6, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - August 6, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 25, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 13, 2001 - October 20, 2004
QUICK & REILLY, INC.
August 4, 2000 - September 7, 2001
QUICK & REILLY, INC.
May 18, 1999 - April 30, 2001
BANKBOSTON INVESTOR SERVICES, INC.
December 24, 1990 - December 31, 1998
NATIONAL FINANCIAL SERVICES LLC
November 24, 1989 - September 21, 1990
LEGG MASON WOOD WALKER, INCORPORATED
November 13, 1989 - September 5, 1990
LEGG MASON WOOD WALKER, INCORPORATED
March 12, 1987 - November 16, 1989
MORGAN STANLEY DW INC.
February 2, 1987 - February 12, 1987
SHERWOOD CAPITAL, INC.
December 15, 1982 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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: 3/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
