John E. Martin
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 Earl Martin, who also goes by John E Martin Jr, John Earl Martin Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 13 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 8, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2011 - December 31, 2011
REGENT CAPITAL GROUP, INC.
April 26, 2006 - January 4, 2011
FINANCIAL AMERICA SECURITIES, INC.
August 3, 2004 - October 12, 2004
OPPENHEIMER & CO. INC.
October 2, 2002 - February 14, 2003
ELECTRONIC TRADING GROUP, LLC
March 19, 2002 - September 12, 2002
CAPSTONE INVESTMENTS
September 2, 1998 - March 14, 2002
SHORELINE TRADING GROUP LLC
February 2, 1998 - August 4, 1998
D.A. DAVIDSON & CO.
January 23, 1996 - April 9, 1996
MORGAN FULLER CAPITAL GROUP, LLC
August 11, 1995 - November 15, 1995
L. H. ALTON & COMPANY
July 1, 1992 - June 1, 1995
CITIZENS JMP SECURITIES, LLC
January 31, 1992 - June 8, 1992
DABNEY/RESNICK/IMPERIAL, LLC
May 28, 1991 - January 22, 1992
CITIZENS JMP SECURITIES, LLC
April 24, 1990 - September 10, 1990
GLOBALCOMM SECURITIES, INC.
September 21, 1988 - September 10, 1990
JMC INVESTMENT SERVICES, 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: 11/3/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 2/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGENT CAPITAL GROUP, INC.
CRD#: 126881 / SEC#: , 8-65923
Contact information
Documents
Disclosures
| Regulatory Event | 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.
