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JM

John R. Martin

Some features on this profile are disabled
CRD#: 1885980
JM

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 Richard Martin JR, who also goes by John R Martin Jr, John R Martin, John Richard Martin, John R Martin Jr. Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1990. John had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John R Martin Jr | John R Martin | John Richard Martin | John R Martin Jr. Jr

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

December 15, 2017 - March 5, 2020

MARTIN ADVISORY & CONSULTING SERVICES, LLC

RIA
CRD#: 289219
AUSTIN, TX
Past

February 9, 2011 - August 3, 2016

MORGAN STANLEY

BD
CRD#: 149777
AUSTIN, TX
Past

June 29, 2010 - August 3, 2016

MORGAN STANLEY

RIA
CRD#: 149777
AUSTIN, TX
Past

June 5, 2009 - June 17, 2010

361 CAPITAL LLC

RIA
CRD#: 118203
DENVER, CO
Past

January 4, 2005 - January 8, 2007

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
HOLLAND, MI
Past

May 24, 2000 - January 13, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 12, 1998 - July 30, 1999

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

November 15, 1993 - June 12, 1998

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

January 8, 1992 - October 9, 1993

CLAYTON BROWN & ASSOCIATES, INC.

BD
CRD#: 3664
CHICAGO, IL
Past

November 25, 1991 - November 27, 1991

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

February 13, 1990 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

BD
CRD#: 3664
CHICAGO, IL

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: 10/25/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/4/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2011
General Securities Representative Examination

Current Firm

MA
MARTIN ADVISORY & CONSULTING SERVICES, LLC
MARTIN ADVISORY & CONSULTING SERVICES, LLC

CRD#: 289219 / SEC#:

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Contact information

Main Address
Olathe, KS
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

MARTIN ADVISORY & CONSULTING SERVICES, LLC

CRD#: 289219

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