John E. Martinez
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 Edwin Martinez, who also goes by John E Martin, John Martin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 6 firms and has passed the Series 63 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
June 10, 1999 - March 14, 2003
LH ROSS & COMPANY, INC.
January 26, 1999 - June 15, 1999
SECWEST SECURITIES, INC.
February 17, 1998 - October 14, 1998
MILLENNIUM SECURITIES CORP.
July 22, 1997 - March 16, 1998
J.P. TURNER & COMPANY, L.L.C.
June 27, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
April 7, 1995 - June 11, 1997
DUKE & CO., 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
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
