Rick J. 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.
Rick J Martin was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1985. Rick had worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 87, Series 86, Series 3, Series 55, Series 16, Series 7, Series 24, Series 53, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2016 - December 31, 2019
BLUESTONE CAPITAL MANAGEMENT, LLC
October 25, 2016 - December 31, 2019
MCG SECURITIES LLC
June 19, 2013 - May 31, 2016
VIRTU ITG LLC
October 28, 2011 - April 1, 2013
T3 TRADING GROUP, LLC
November 9, 2010 - October 27, 2011
VIRTU ITG LLC
March 5, 2004 - May 23, 2007
RYAN BECK & CO.
January 30, 2004 - May 23, 2007
RYAN BECK & CO.
October 27, 2003 - February 3, 2004
WEDGE SECURITIES, LLC
September 19, 2003 - February 3, 2004
GERONIMO PARTNERS ASSET MANAGEMENT, LLC
July 7, 2000 - December 3, 2001
TUCKER ANTHONY INCORPORATED
May 25, 2000 - September 26, 2000
CIBC WORLD MARKETS CORP.
June 16, 1997 - February 2, 2000
ADVEST, INC.
January 3, 1995 - August 13, 1996
SBC WARBURG, INC.
August 3, 1994 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
April 28, 1992 - July 1, 1994
THE CHICAGO CORPORATION
May 12, 1989 - January 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 3, 1985 - October 4, 1988
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
BLUESTONE CAPITAL MANAGEMENT, LLC
CRD#: 157841 / SEC#: 801-77657
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
Series 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 10/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLUESTONE CAPITAL MANAGEMENT, LLC
CRD#: 157841 / SEC#: 801-77657
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 96 |
| AUM (Assets Under Management) | $ 351,518,705 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/30/2025 | ||
| 02/29/2024 |
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.
