Martin J. Gelb
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 Joseph Gelb, who also goes by Martin J Gelb, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1967. Martin had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 1, Series 9, Series 24, Series 53, Series 10, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2011 - December 31, 2021
RAYMOND JAMES & ASSOCIATES, INC.
March 11, 2011 - December 31, 2021
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2009 - March 18, 2011
MORGAN STANLEY
June 1, 2009 - March 18, 2011
MORGAN STANLEY
April 17, 1991 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 22, 1989 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 18, 1978 - April 21, 1979
LOEB PARTNERS
January 4, 1977 - April 21, 1979
LOEB RHOADES & CO. INC.
April 9, 1973 - April 21, 1979
LOEB, RHOADES & CO. INC.
July 17, 1967 - April 15, 1973
DUPONT GLORE FORGAN & CO
June 3, 1967 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 9/19/1983
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/15/1960
Registered Representative ExaminationSeries 40
Date: 7/1/1967
Registered Principal ExaminationSeries 12
Date: 6/3/1967
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
