Martin B. Anderson
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.
Martin Blair Anderson, who also goes by Marty Anderson, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1997. Martin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2013 - December 12, 2017
J.P. MORGAN SECURITIES LLC
October 4, 2013 - December 12, 2017
J.P. MORGAN SECURITIES LLC
August 27, 2008 - June 7, 2013
EDWARD JONES
August 27, 2008 - June 7, 2013
EDWARD JONES
January 9, 2006 - May 23, 2008
KEY INVESTMENT SERVICES LLC
December 16, 2005 - May 23, 2008
KEY INVESTMENT SERVICES LLC
August 18, 2005 - December 20, 2005
KEYBANC CAPITAL MARKETS INC.
August 18, 2005 - December 20, 2005
KEYBANC CAPITAL MARKETS INC.
October 20, 2004 - July 29, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - July 29, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 23, 2003 - October 20, 2004
QUICK & REILLY, INC.
March 25, 2003 - October 20, 2004
QUICK & REILLY, INC.
May 7, 1998 - March 27, 2003
U.S. BANCORP INVESTMENTS, INC.
June 25, 1997 - March 2, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
