Anthony R. Martin
Professional summary
Anthony Randy Martin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Anthony had worked at 13 firms, which includes BRILL SECURITIES INC., THINKEQUITY LLC, WESTROCK ADVISORS INC., MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., JOSEPHTHAL & CO. INC., JJC SECURITIES CO. INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, MORGAN STANLEY DW INC., F.D. ROBERTS SECURITIES INC., SANDHURST SECURITIES LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2007 - September 21, 2007
BRILL SECURITIES, INC.
June 11, 2007 - June 28, 2007
THINKEQUITY LLC
July 6, 2006 - November 16, 2006
WESTROCK ADVISORS, INC.
October 23, 2002 - May 3, 2006
MAXIM GROUP LLC
September 8, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
November 4, 1991 - September 20, 2000
JOSEPHTHAL & CO., INC.
February 14, 1991 - October 23, 1991
JJC SECURITIES CO., INC.
August 25, 1989 - February 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 24, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 6, 1989 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 4, 1988 - January 30, 1989
MORGAN STANLEY DW INC.
February 23, 1988 - April 26, 1988
F.D. ROBERTS SECURITIES, INC.
February 23, 1988 - September 26, 1988
SANDHURST SECURITIES LTD.
State Registrations and Notice Filings
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Exams
Current Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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