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AM

Alex M. Martinez

Some features on this profile are disabled
CRD#: 2107280
AM

Professional summary

Alex M Martinez was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alex is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Alex had worked at 9 firms, which includes MAM GLOBAL FINANCIAL SERVICES LLC, MAM SECURITIES LLC, GOLD COAST SECURITIES INC., CROWELL WEEDON & CO., MORGAN STANLEY DW INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., CETERA WEALTH SERVICES LLC, WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alejandro M Martinez | Alejandro Martinez Martinez | Alejandro Martinez | Alex Martinez

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

July 1, 2010 - June 17, 2011

MAM GLOBAL FINANCIAL SERVICES, LLC

RIA
CRD#: 152932
ENCINO, CA
Past

January 11, 2005 - June 17, 2011

MAM SECURITIES, LLC

BD
CRD#: 124620
SHERMAN OAKS, CA
Past

July 14, 2003 - June 17, 2011

MAM SECURITIES, LLC

RIA
CRD#: 124620
SHERMAN OAKS, CA
Past

February 26, 2003 - June 30, 2003

GOLD COAST SECURITIES, INC.

RIA
CRD#: 110925
ENCINO, CA
Past

February 26, 2003 - June 30, 2003

GOLD COAST SECURITIES, INC.

BD
CRD#: 110925
THOUSAND OAKS, CA
Past

June 6, 2002 - February 28, 2003

CROWELL, WEEDON & CO.

BD
CRD#: 193
LOS ANGELES, CA
Past

December 20, 1995 - May 29, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 12, 1991 - December 3, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

June 12, 1991 - December 3, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

December 12, 1990 - May 3, 1991

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 5, 1990 - December 18, 1990

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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
IAR
Series 65
Date: 7/19/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/7/2004
General Securities Principal Examination

Current Firm

MG
MAM GLOBAL FINANCIAL SERVICES, LLC
MAM GLOBAL FINANCIAL SERVICES, LLC | USA

CRD#: 152932 / SEC#:

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Contact information

Main Address
9630 Bruceville Rd. Ste 106-117 Suite C, Pmb #631, Elk Grove, CA 95757
Mailing Address
9630 Bruceville Rd. Ste 106-117 Suite C, Pmb # 631, Elk Grove, CA 95757
Phone number
(818) 784-8752
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts10
AUM (Assets Under Management)$ 2,000,000

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

MAM GLOBAL FINANCIAL SERVICES, LLC

CRD#: 152932

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