Martin W. Prinz
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 William Prinz, who also goes by Marty Prinz, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1985. Martin had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 1987 - December 31, 2016
EDI FINANCIAL, INC.
May 26, 1987 - November 2, 1987
TEXAS SECURITIES, INC.
February 9, 1987 - June 2, 1987
ASHFORD SECURITIES CORPORATION
March 3, 1986 - December 16, 1986
TEXAS INDEPENDENT SECURITIES, INC.
April 30, 1985 - June 12, 1985
SIGMUNDR SECURITIES CORP.
February 7, 1985 - May 28, 1985
UNI-PETRO SECURITIES CORP.
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
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
