Earnest S. Martin

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CRD#: 1699465

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.

Earnest Steven Martin, who also goes by Steve Martin, was a registered financial professional .

Earnest is a previously registered financial professional and started their career in finance in 1987. Earnest had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Martin

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.

ARTIST PROVIDING ORIGINAL WORKS FOR STEVE MARTIN STUDIO; 611 JULIA ST LLC, PURCHASE OF A COMMERICAL/RESIDENTAL PROPERTY FOR RENTAL PURPOSES; 1/3 OWNERSHIP; LESS THAN 1 HOUR PER WEEK. MARTIN CAPITAL MANAGMEMENT; 816 LAYETTE ST., N.O., LA 70115; REGISTERED INVESTMENT ADVISOR FIRM; COMPENSATION - YES; 100% OWNER; 5 HRS PER WEEK DURING NORMAL WORKING HOURS.

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

July 16, 2008 - November 3, 2023

WEALTHHARBOR CAPITAL GROUP, LLC

RIA

CRD#: 118614

NEW ORLEANS, LA

Past

December 1, 2005 - December 17, 2007

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MIAMI BEACH, FL

Past

November 30, 2005 - December 17, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

MIAMI BEACH, FL

Past

June 18, 1999 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

February 27, 1998 - June 18, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 17, 1988 - March 2, 1998

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

July 21, 1987 - October 17, 1988

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

CRD#: 414

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHHARBOR CAPITAL GROUP, LLC

WEALTHHARBOR CAPITAL GROUP | WEALTHHARBOR RETIREMENT SERVICES | WEALTHHARBOR CAPITAL MANAGEMENT | WEALTHHARBOR CAPITAL GROUP, LLC

CRD#: 118614 / SEC#: 801-62721

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

Louisiana

Registered Investment Advisory firm - (1/16/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Current Firm

WEALTHHARBOR CAPITAL GROUP, LLC

WEALTHHARBOR CAPITAL GROUP | WEALTHHARBOR RETIREMENT SERVICES | WEALTHHARBOR CAPITAL MANAGEMENT | WEALTHHARBOR CAPITAL GROUP, LLC

CRD#: 118614 / SEC#: 801-62721

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

Louisiana

Registered Investment Advisory firm - (1/16/2004 Terminated)

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Contact information

Main Address

433 Metairie Rd Suite 500, Metairie, LA 70005

Mailing Address

Phone number

(504) 482-1962

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHHARBOR CAPITAL GROUP, LLC (3/27/2025)

Regulatory assets under management

Total Number of Accounts	364
AUM (Assets Under Management)	$ 300,480,136

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.

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Firm Stability Insights

Earnest S. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

PAN-AMERICAN FINANCIAL ADVISERS

RBC CAPITAL MARKETS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

Primary Firm SEC Registration

WEALTHHARBOR CAPITAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2007

Series 63

Date: 8/3/1987

Series 7

Date: 7/18/1987

Current Firm

WEALTHHARBOR CAPITAL GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHHARBOR CAPITAL GROUP, LLC

TRUST BUT VERIFY

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