Martin J. Rabovich
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 Juan Rabovich was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1984. Martin had worked at 13 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2001 - October 28, 2002
DIRKS & COMPANY, INC.
June 29, 2000 - November 2, 2000
THE THORNWATER COMPANY, L.P.
March 23, 1993 - July 11, 2000
GILFORD SECURITIES INCORPORATED
January 1, 1992 - January 1, 1993
UBS FINANCIAL SERVICES INC.
February 22, 1991 - January 16, 1992
SANDS BROTHERS & CO., LTD.
March 26, 1990 - December 20, 1990
RODMAN & RENSHAW INC.
July 15, 1988 - March 29, 1990
LEHMAN BROTHERS INC.
August 27, 1986 - July 6, 1988
MOORE & SCHLEY, CAMERON & CO.
January 9, 1986 - August 14, 1986
ALEXANDER MICHAELS, INC.
April 29, 1985 - December 24, 1985
WEAVER JOHNSON & COMPANY,INC.
February 15, 1985 - May 1, 1985
VANDERBILT SECURITIES, INC.
October 10, 1984 - August 20, 1986
BARRON, MARSHALL & KAMEN CO., INC.
September 24, 1984 - October 26, 1984
MONVEST SECURITIES, INC.
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
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
