Anthony J. Martinez
Professional summary
Anthony Joseph Martinez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Anthony had worked at 5 firms, which includes BROKERAGEAMERICA LLC, BROKERAGEAMERICA INC, KIRLIN SECURITIES INC., SHEARMAN RALSTON INC., EQUITABLE SECURITIES OF NEW YORKINC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2002 - January 3, 2005
BROKERAGEAMERICA, LLC
April 23, 2001 - April 15, 2002
BROKERAGEAMERICA, INC
June 19, 1995 - April 23, 2001
KIRLIN SECURITIES INC.
March 5, 1992 - July 7, 1995
SHEARMAN, RALSTON INC.
September 24, 1986 - May 8, 1987
EQUITABLE SECURITIES OF NEW YORK,INC.
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: 11/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
BROKERAGEAMERICA, LLC
CRD#: 47966 / SEC#: , 8-51997
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| CONSTANCE J UPCHURCH FAMILY TRUST | TRUST | |
| UPCHURCH, JESSE LLOYD | TRUSTEE | 4658478 |
| CAMILLO, DON THOMAS | PRESIDENT | 1771055 |
| DEFALCO, NORA | FINOP | 2297523 |
| GUIDETTI, SAMUEL ANTHONY III | SVP CHIEF COMPLIANCE OFFICER | 1834494 |
| MARTINEZ, ANTHONY JOSEPH | SVP HEAD OF TRADING OPERATIONS | 1568443 |
| MITCHELL, JAMES ROBERT JR | VICE PRESIDENT OF CUSTOMER SERVICE/OPERATIONS/SROP/CROP | 1374268 |
| SCHULDER, LAWRENCE MATTHEW | OPERATIONS MANAGER | 3010726 |
| SCHWARTZ, REVAN RICHARD | C.L.O. | 2748110 |
| SEFF, LESLIE S | C.O.O. | 417971 |
| SULLIVAN, MATTHEW DAVID | CFO | 2643274 |
| SULTAN, BORA | SENIOR VICE PRESIDENT OF STRATEGIC DEVELOPMENT AND EXECUTION QUALITY | 2043998 |
| SYCOFF, ANDREW GARRETT | C.E.O. | 2119089 |
Disclosures
| Regulatory Event | 4 |
| 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.
