Martin R. Sprenger
Professional summary
Martin Ronald Sprenger was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Martin is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Martin had worked at 10 firms, which includes SMITH HAYES FINANCIAL SERVICES CORPORATION, FREEDOM INVESTMENTS INC., CHARLES SCHWAB & CO. INC., NATIONAL CLEARING CORP., DALLAS RESEARCH & TRADING INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, AMERIPRISE ADVISOR SERVICES INC., GIBRALTAR SECURITIES INC., J. W. GANT & ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2001 - March 2, 2001
SMITH HAYES FINANCIAL SERVICES CORPORATION
May 6, 1999 - February 29, 2000
FREEDOM INVESTMENTS, INC.
October 14, 1996 - July 31, 1998
CHARLES SCHWAB & CO., INC.
December 13, 1994 - January 23, 1995
NATIONAL CLEARING CORP.
May 11, 1994 - October 4, 1994
DALLAS RESEARCH & TRADING, INC.
August 17, 1993 - May 4, 1994
MORGAN STANLEY DW INC.
August 9, 1993 - August 12, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 7, 1993 - May 20, 1993
AMERIPRISE ADVISOR SERVICES, INC.
July 6, 1992 - October 23, 1992
GIBRALTAR SECURITIES, INC.
January 6, 1992 - July 8, 1992
J. W. GANT & ASSOCIATES, 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
SMITH HAYES FINANCIAL SERVICES CORPORATION
CRD#: 17059 / SEC#: , 8-34980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH HAYES COMPANIES D/B/A SMITH HAYES | PARENT COMPANY | |
| DAVIS, COLLEEN TERESE | VICE PRESIDENT, OPERATIONS | 1274284 |
| DECKER, JOHN LOUIS JR | PRESIDENT, CEO | 2812644 |
| DEWHURST, KATHLEEN ANN | VICE PRESIDENT, HR | 1245164 |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER | 1255071 |
| KERR, JAMES PATRICK | DIRECTOR | 824040 |
| MANN, BRANDON MICHAEL | VICE PRESIDENT OF SALES | 4488207 |
| NELSON, THOMAS STEVEN | DIRECTOR | 1108782 |
| PURPURA, MICHAEL JOSEPH | DIRECTOR | 2095576 |
| SCHAEFER, BOBBY JOHN | CFO / SECRETARY / TREASURER | 5569260 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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