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MW

Martha F. Whitehead

THORNTON FARISH
Montgomery, AL 36116
Some features on this profile are disabled
CRD#: 1366740
MW

Professional summary

Martha F Whitehead, who also goes by Marhta Hall Floyd, Martha Hall Floyd, Martha Floyd, Marti Floyd, Martha Jean Hall, Martha Whitehead, is a registered financial professional currently at THORNTON FARISH INC. located in Montgomery, Alabama.

Martha is registered as a RR (Registered Representative) and started their career in finance in 1991. Martha has worked at 4 firms and has passed the Series 63, SIE and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marhta Hall Floyd | Martha Hall Floyd | Martha Floyd | Marti Floyd | Martha Jean Hall | Martha Whitehead

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) - BD

Click below to view Martha F Whitehead's CRS (Customer Relationship Summary).

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

Current

August 19, 2005 - Present

THORNTON FARISH INC.

Office #1: 3500 Eastern Blvd., Suite 210, Montgomery, AL 36116Office #2: 3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781
BD
CRD#: 830
Montgomery, AL
Past

March 11, 1999 - August 25, 2005

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

February 4, 1999 - February 26, 1999

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
Past

January 29, 1993 - February 9, 1999

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

May 20, 1991 - February 5, 1993

PORTER, WHITE & COMPANY, INC.

BD
CRD#: 7925
BIRMINGHAM, AL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/19/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 1/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 5/17/1991
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THORNTON FARISH INC.
THORNTON FARISH INC. | THORNTON, FARISH & GAUNTT, INC. | THORNTON, FARISH & GAUNTT

CRD#: 830 / SEC#: , 8-37486

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781
Mailing Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781
Phone number
(334) 270-8555
Established
Alabama since 04/01/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BAMMAN, PRESCOTT WOODRUFFPRESIDENT860903
BAMMAN, PRESCOTT WOODRUFFCHIEF FINANCIAL OFFICER860903
CARDINAL, LOUIS CHARLESEXECUTIVE VICE PRESIDENT716540
WHITEHEAD, JOSEPH ANTHONY JREXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER865409
RUSSELL, SARAH DETLINGCHIEF FINANCIAL OFFICER6727189

Disclosures

Regulatory Event1

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

THORNTON FARISH INC.

CRD#: 830Montgomery, AL 36116

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