Frank A. Martin
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.
Frank Aloysius Martin, who also goes by Francis Aloysius Martin, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 4 firms and has passed the Series 63, Series 7 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
January 3, 1985 - July 26, 1989
BAILEY, MARTIN & APPEL, INC.
November 16, 1984 - January 27, 1986
BARTEL SECURITIES, INC.
August 1, 1984 - March 29, 1985
EQUITY SEARCH SECURITIES, INC.
August 10, 1983 - September 27, 1984
HOWARD, LAWSON & CO., LLC
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
BAILEY, MARTIN & APPEL, INC.
CRD#: 15833 / SEC#: , 8-32822
Contact information
Documents
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.
