RM
Robert A. Martin
OSAIC INSTITUTIONS
Hyannis, MA 02601
Some features on this profile are disabled
CRD#: 1370404
RM
Professional summary
Robert Anthony Martin, CIMA® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hyannis, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Anthony Martin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Anthony Martin'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®
Experience
Current
March 27, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 695 Attucks Lane, Hyannis, MA 02601Office #2: 3878 Falmouth Road, Marstons Mills, MA 02648RIA
BD
CRD#: 35371
Hyannis, MA
Current
March 13, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 695 Attucks Lane, Hyannis, MA 02601Office #2: 3878 Falmouth Road, Marstons Mills, MA 02648RIA
BD
CRD#: 35371
Hyannis, MA
Past
October 7, 2014 - March 15, 2017
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
ORLEANS, MA
Past
September 22, 2014 - March 15, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
ORLEANS, MA
Past
October 25, 2013 - April 4, 2014
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
NEW YORK, NY
Past
October 4, 2013 - April 4, 2014
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
WESTWOOD, MA
Past
October 23, 2009 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HYANNIS, MA
Past
October 23, 2009 - April 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 9, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
HYANNIS, MA
Past
December 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
HYANNIS, MA
Past
August 20, 2005 - December 31, 2008
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
HYANNIS, MA
Past
February 1, 2005 - December 31, 2008
BOFA ADVISORS, LLC
RIA
CRD#: 107900
HYANNIS, MA
Past
January 4, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
October 20, 2004 - January 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 9, 2003 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 12, 2000 - June 7, 2002
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
June 10, 1992 - September 1, 1999
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
August 13, 1991 - February 12, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 13, 1991 - February 12, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 22, 1985 - February 2, 1988
CITICORP SECURITIES, INC.
BD
CRD#: 7474
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(3/13/2017)
RR
Connecticut(3/13/2017)
RR
Florida(3/13/2017)
RR
Maine(3/13/2017)
RR
Maryland(1/14/2021)
RR
Massachusetts(3/15/2017)
IAR
Massachusetts(3/27/2017)
RR
New Hampshire(3/22/2017)
RR
New York(3/13/2017)
RR
North Carolina(9/12/2019)
RR
Rhode Island(3/16/2017)
RR
Vermont(3/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371Hyannis, MA 02601TRUST BUT VERIFY
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