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GM

Gary A. Martino

TRADINGBLOCK
Newbury Park, CA
Some features on this profile are disabled
CRD#: 1458334
GM

Professional summary

Gary Anthony Martino, who also goes by Gary Martino, is a registered financial professional currently at TRADINGBLOCK located in Newbury Park, California.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1987. Gary has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 14, Series 8 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gary Martino

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 Gary Anthony Martino's CRS (Customer Relationship Summary).
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

September 20, 2012 - Present

TRADINGBLOCK

BD
CRD#: 128605
Newbury Park, CA
Past

February 4, 2016 - May 29, 2020

TRADINGBLOCK

RIA
CRD#: 128605
NEWBURY PARK, CA
Past

September 6, 2006 - September 11, 2012

BROKERSXPRESS LLC

RIA
CRD#: 127081
NEWBURY PARK, CA
Past

September 30, 2003 - September 11, 2012

BROKERSXPRESS LLC

BD
CRD#: 127081
NEWBURY PARK, CA
Past

April 18, 2002 - September 4, 2003

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

December 2, 1987 - June 7, 2002

DREYFUS BROKERAGE SERVICES, INC.

BD
CRD#: 7289
LOS ANGELES, CA

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
Arizona
(10/24/2012)
RR
Arkansas
(10/24/2012)
RR
California
(9/20/2012)
RR
Colorado
(10/24/2012)
RR
Connecticut
(10/24/2012)
RR
Florida
(10/24/2012)
RR
Georgia
(10/24/2012)
RR
Illinois
(9/20/2012)
RR
Indiana
(2/4/2016)
RR
Iowa
(10/24/2012)
RR
Kansas
(10/24/2012)
RR
Michigan
(10/24/2012)
RR
Minnesota
(10/26/2012)
RR
Mississippi
(10/24/2012)
RR
Nebraska
(10/24/2012)
RR
Nevada
(10/24/2012)
RR
New Jersey
(10/24/2012)
RR
New York
(10/24/2012)
RR
North Carolina
(2/5/2016)
RR
Ohio
(10/26/2012)
RR
Oklahoma
(10/24/2012)
RR
South Dakota
(10/26/2012)
RR
Texas
(9/20/2012)
RR
Utah
(10/24/2012)
RR
Vermont
(8/10/2016)
RR
Virginia
(10/24/2012)
RR
Wisconsin
(10/24/2012)
RR
Wyoming
(10/24/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/15/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1987
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 3
Date: 9/7/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/29/2000
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/5/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 11/29/1988
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK

CRD#: 128605 / SEC#: , 8-66163

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

Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA HOLDINGS INC.OWNER
HEFFERNAN, THOMAS ROBERTVP5538731
HOEH, PHILLIP JOHNCCO2231877
MARTINO, GARY ANTHONYVP1458334
OGILVIE, DONAL SHANNONCOO2863275
VANDERHOOF, JOEL MICHAELPRESIDENT - INVESTMENT BANKING4152196
WALLACE, ROBERT DIRLAMCFO4606185
WICKERT, JERE THOMASCEO AND PRESIDENT2079719

Disclosures

Regulatory Event9
Arbitration3

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

TRADINGBLOCK

CRD#: 128605Newbury Park, CA

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