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CM

Christopher B. Martin

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CRD#: 1266829
CM

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.

Christopher Bernard Martin was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 2, 2011 - December 5, 2011

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

May 23, 2011 - October 6, 2011

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

June 3, 2004 - November 29, 2010

VANDHAM SECURITIES CORP.

BD
CRD#: 26258
BOSTON, MA
Past

May 19, 1998 - April 7, 2004

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

October 16, 1997 - December 13, 1997

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

October 3, 1997 - May 15, 1998

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

October 2, 1997 - October 6, 1997

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

December 23, 1994 - October 16, 1997

SAPERSTON FINANCIAL INC.

BD
CRD#: 27863
BUFFALO, NY
Past

April 12, 1993 - January 11, 1995

KEELEY INVESTMENT CORP.

BD
CRD#: 7346
CHICAGO, IL
Past

August 1, 1991 - September 9, 1992

SAPERSTON FINANCIAL INC.

BD
CRD#: 27863
BUFFALO, NY
Past

January 30, 1989 - July 3, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 26, 1984 - January 18, 1989

CAPITOL SECURITIES & ASSOCIATES, INC.

BD
CRD#: 7278
GLEN ALLEN, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/16/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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.

Company Information

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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