John A. Martino
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.
John Andrew Martino, CFP®, who also goes by John Martino, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - October 14, 2019
SECURIAN FINANCIAL SERVICES, INC.
November 19, 2009 - October 14, 2019
SECURIAN FINANCIAL SERVICES, INC.
September 8, 2007 - October 6, 2009
NAVY FEDERAL ASSET MANAGEMENT, LLC
September 20, 2006 - September 8, 2007
NAVY FEDERAL INVESTMENT SERVICES, LLC
July 3, 2006 - September 10, 2009
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 19, 2006 - September 21, 2006
CUNA BROKERAGE SERVICES, INC.
May 19, 2006 - July 3, 2006
CUNA BROKERAGE SERVICES, INC.
January 7, 2004 - May 8, 2006
CUSO FINANCIAL SERVICES, L.P.
January 7, 2004 - May 8, 2006
CUSO FINANCIAL SERVICES, L.P.
November 6, 1991 - January 6, 2004
MORGAN STANLEY DW INC.
October 7, 1987 - January 6, 2004
MORGAN STANLEY DW 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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
