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AM

Anthony J. Martinez

Some features on this profile are disabled
CRD#: 1568443
AM

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

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 15, 2002 - January 3, 2005

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

April 23, 2001 - April 15, 2002

BROKERAGEAMERICA, INC

BD
CRD#: 103942
NE W YORK, NY
Past

June 19, 1995 - April 23, 2001

KIRLIN SECURITIES INC.

BD
CRD#: 21210
SYOSSET, NY
Past

March 5, 1992 - July 7, 1995

SHEARMAN, RALSTON INC.

BD
CRD#: 7320
GREENWICH, CT
Past

September 24, 1986 - May 8, 1987

EQUITABLE SECURITIES OF NEW YORK,INC.

BD
CRD#: 14583

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/5/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/1/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/3/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/1994
General Securities Principal Examination

Current Firm

BL
BROKERAGEAMERICA, LLC
BROKERAGEAMERICA, LLC | THE FINANCIAL CAFE.COM LLC | ONE FINANCIAL NETWORK, LLC | OFNDIRECT, A DIVISION OF BROKERAGEAMERICA, LLC | INVESTORS FINANCIAL NETWORK LLC

CRD#: 47966 / SEC#: , 8-51997

BD
Terminated by SEC on 06/07/2005
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/25/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ANDREW GARRETT HOLDING CORPOWNER
CONSTANCE J UPCHURCH FAMILY TRUSTTRUST
UPCHURCH, JESSE LLOYDTRUSTEE4658478
CAMILLO, DON THOMASPRESIDENT1771055
DEFALCO, NORAFINOP2297523
GUIDETTI, SAMUEL ANTHONY IIISVP CHIEF COMPLIANCE OFFICER1834494
MARTINEZ, ANTHONY JOSEPHSVP HEAD OF TRADING OPERATIONS1568443
MITCHELL, JAMES ROBERT JRVICE PRESIDENT OF CUSTOMER SERVICE/OPERATIONS/SROP/CROP1374268
SCHULDER, LAWRENCE MATTHEWOPERATIONS MANAGER3010726
SCHWARTZ, REVAN RICHARDC.L.O.2748110
SEFF, LESLIE SC.O.O.417971
SULLIVAN, MATTHEW DAVIDCFO2643274
SULTAN, BORASENIOR VICE PRESIDENT OF STRATEGIC DEVELOPMENT AND EXECUTION QUALITY2043998
SYCOFF, ANDREW GARRETTC.E.O.2119089

Disclosures

Regulatory Event4
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BROKERAGEAMERICA, LLC

CRD#: 47966

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