Martin Perlman
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.
Martin Perlman, who also goes by Martin Pearlman, was a registered financial advisor .
Martin is a previously registered financial advisor and started their career in finance in 1986. Martin had worked at 4 firms and has passed the Series 63, Series 7 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
July 29, 2010 - August 6, 2010
TRICOR FINANCIAL, LLC
February 28, 1997 - July 16, 2010
LPL FINANCIAL LLC
December 16, 1989 - July 16, 2010
LPL FINANCIAL LLC
January 15, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
June 12, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
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
TRICOR FINANCIAL, LLC
CRD#: 142518 / SEC#: , 8-67473
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
