Andrew J. 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.
Andrew Johnston Martin, who also goes by Andy Martin, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2016 - June 26, 2017
INDEPENDENT INVESTMENT BANKERS, CORP.
March 25, 2014 - May 18, 2016
SEQUENCE FINANCIAL SPECIALISTS LLC
September 25, 2012 - February 12, 2013
LPE SECURITIES, LLC
March 15, 2007 - September 27, 2010
AMERIFUND CAPITAL SECURITIES, LLC
September 8, 2004 - September 15, 2006
STARLIGHT FUNDING INVESTMENTS, LLC
February 27, 2004 - August 19, 2004
STONEGATE CAPITAL MARKETS, INC.
November 28, 1995 - February 9, 2004
IICC - TRADECO, INC.
March 24, 1993 - December 21, 1993
AMERICAN ALLIED SECURITIES INC.
November 20, 1989 - April 12, 1991
M.G.S.I. SECURITIES, 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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
