Mary M. Martin
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.
Mary Martha Martin, who also goes by Polly Martin, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 8 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1993 - January 20, 1994
CASTLE SECURITIES CORP.
September 21, 1989 - September 2, 1992
CASTLE SECURITIES CORP.
May 11, 1989 - July 26, 1990
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
January 17, 1989 - May 13, 1989
LEVCO SECURITIES CORP.
September 2, 1988 - December 8, 1988
PRELUDE SECURITIES CORP.
December 11, 1987 - October 17, 1988
WINDSOR IBC, INC.
April 14, 1987 - December 9, 1987
MARSHALL DAVIS, INC.
June 19, 1986 - April 23, 1987
J. W. GANT & ASSOCIATES, INC.
July 24, 1985 - August 6, 1985
INDIVIDUAL'S SECURITIES LTD.
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
CASTLE SECURITIES CORP.
CRD#: 16077 / SEC#: , 8-34049
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
