MS
Martin C. Sirera
HANCOCK WHITNEY INVESTMENT SERVICES
NEW ORLEANS, LA 70139
Some features on this profile are disabled
CRD#: 2006486
MS
Professional summary
Martin Christopher Sirera is a registered financial advisor currently at HANCOCK WHITNEY INVESTMENT SERVICES INC. located in New Orleans, Louisiana.
Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Martin has worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
LONESOME ASSETS, LLC, 809 HARMONY LANE, MANDEVILLE, LA 70471, IS A LIMITED LIBILITY COMPANY FOR WHOM I AM THE SOLE MEMEBER. IT IS INTENDED TO HOLD TITLE TO INVESTMENT REAL ESTATE AND WORKING CAPITAL. IT CURRENTLY HOLDS NO REAL ESTATE BUT HAS A SMALL AMOUNT OF CASH AS AN ASSET, HWIS CLIENT - NONE, POSITON - SOLE MEMBER, OWERSHIP - 100$, COMPENSATION - NONE, HRS. - LESS THAN ONE HOUR PER MONTH; ANCIENT ORDER OF HIBERNIANS, CARDINAL GIBBONS DIVISION, INC., 5040 KEWANEE, METAIRIE, LA 70003, 501C3 NON-PROFIT, IRISH CATHOLIC FRATERNAL ORGANIZATION WHOSE PURPOSE IS TO PROMOTE FRIENDSHIP, UNITY, AND CHRISTIAN CHARITY AND IRISH AND IRISH-AMERICAN CULTURE', HWIS CLIENTS - NONE, POSITION - TREASURER, DUTIES - MAINTAINING FINANCIAL RECORDS, RECEIVING, DEPOSITING, DISBURSING FUNDS, REPORTING ACTIVITIES TO THE DIVISON, COMPENSATION - NONE, HRS - LESS THAN 5 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Martin Christopher Sirera's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2022 - Present
HANCOCK WHITNEY INVESTMENT SERVICES INC.
Office #1: 701 Poydras St. Suite 3100, New Orleans, LA 70139RIA
BD
CRD#: 40637
NEW ORLEANS, LA
Past
August 15, 2016 - July 27, 2018
CAPITAL ONE ASSET MANAGEMENT, LLC
RIA
CRD#: 110533
NEW ORLEANS, LA
Past
July 18, 1990 - March 26, 1993
MARQUIS INVESTMENTS, L.L.C.
BD
CRD#: 17121
Past
November 21, 1989 - April 26, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Past
November 21, 1989 - April 26, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(5/24/2022)
Exams
General Industry/Product Exam
Current Firm
HW
HANCOCK WHITNEY INVESTMENT SERVICES INC.
HANCOCK INVESTMENT SERVICES, INC. | WHITNEY INVESTMENT SERVICES | HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
RIA
Registered Investment Advisory firm - SEC (10/24/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Mailing Address
701 Poydras St. Suite 3100, New Orleans, LA 70139
Phone number
+1 (800) 385-4188
Established
Mississippi since 10/12/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
45
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637New Orleans, LA 70139TRUST BUT VERIFY
Monitor Martin Sirera
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
