Gerald Martin

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CRD#: 1315411

Professional summary

Gerald Martin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerald is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Gerald had worked at 8 firms, which includes LCM CAPITAL MANAGEMENT INC, LASALLE ST SECURITIES L.L.C., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK, MONY SECURITIES CORPORATION, MF GLOBAL INC., JMB SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

Gerry Martin

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

January 8, 2004 - November 21, 2005

LCM CAPITAL MANAGEMENT INC

RIA

CRD#: 111074

CHICAGO, IL

Past

May 8, 1989 - March 1, 2022

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

CHICAGO, IL

Past

February 26, 1988 - May 19, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

February 19, 1988 - May 19, 1989

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 12, 1987 - March 16, 1988

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

June 12, 1987 - March 16, 1988

MONY SECURITIES CORPORATION

CRD#: 4386

Past

February 25, 1986 - March 25, 1987

MF GLOBAL INC.

CRD#: 6731

Past

November 14, 1984 - March 11, 1986

JMB SECURITIES CORPORATION

CRD#: 5862

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/13/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/1991

General Securities Principal Examination

Current Firm

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

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Contact information

Main Address

209 W. Jackson Boulevard Suite 777, Chicago, IL 60606

Mailing Address

Phone number

(312) 705-3013

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/24/2025)

FORM ADV APPENDIX WRAP BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 365,277,954

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.

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Advisor Monitoring

Firm Stability Insights

Gerald Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

MF GLOBAL INC.

JMB SECURITIES CORPORATION

Primary Firm SEC Registration

LCM CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/1994

Series 63

Date: 11/9/1984

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 22

Date: 11/13/1984

Series 24

Date: 12/9/1991

Current Firm

LCM CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LCM CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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