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Anthony Randy Martin

CRD# 1182179·Registered 1988 - 2007
Barred: Anthony Randy Martin was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Anthony Randy Martin, who also goes by Tony Martin, was a registered financial advisor. Anthony was a previously registered financial professional and started their career in finance 1988 - 2007. Anthony had worked at 13 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Tony Martin

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

BRILL SECURITIES, INC.·CRD# 18565
BD
New York, NY
September 10, 2007 - September 21, 2007
THINKEQUITY LLC·CRD# 20996
BD
New York, NY
June 11, 2007 - June 28, 2007
WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
July 6, 2006 - November 16, 2006
MAXIM GROUP LLC·CRD# 120708
BD
New York, NY
October 23, 2002 - May 3, 2006
HAPOALIM SECURITIES USA, INC.·CRD# 266
BD
New York, NY
September 8, 2000 - October 23, 2002
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
November 4, 1991 - September 20, 2000
JJC SECURITIES CO., INC.·CRD# 3144
BD
February 14, 1991 - October 23, 1991
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
August 25, 1989 - February 14, 1991
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
New York, NY
May 24, 1989 - August 25, 1989
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
February 6, 1989 - June 3, 1989
MORGAN STANLEY DW INC.·CRD# 7556
BD
April 4, 1988 - January 30, 1989
F.D. ROBERTS SECURITIES, INC.·CRD# 693
BD
February 23, 1988 - April 26, 1988
SANDHURST SECURITIES LTD.·CRD# 13831
BD
February 23, 1988 - September 26, 1988

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Current Firm

BS
BRILL SECURITIES, INC.

BRILL SECURITIES INC. | NONE | BRILL SECURITIES, INC.

CRD#: 18565 / SEC#: 801-61275, 8-36654
BD
Terminated by SEC on 12/29/2015

Contact Information

Established

New York since 07/25/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BROWN, ROBERT BRILLCEO32896
BROWN, NICHOLAS BRILLCFO ., FINOP2168807
KURTIN, JONATHAN BRILLPRESIDENT276833
NUTKIS, DAVID BENJAMINVP., TRES., SEC., ,CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER730453
BOSE, AMIT KUMARCHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR2476890

Disclosures

Regulatory Event

6

Arbitration

3

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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