Thomas K. Martin
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.
Thomas Keith Martin, who also goes by Tom Martin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 8 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2012 - July 30, 2014
QUAD CAPITAL, LLC
February 24, 2003 - March 31, 2004
FIRST NEW YORK SECURITIES L.L.C.
February 15, 2000 - March 10, 2003
GOLDMAN SACHS & CO. LLC
October 1, 1997 - January 26, 2000
BANC OF AMERICA SECURITIES LLC
October 2, 1996 - October 1, 1997
MONTGOMERY SECURITIES
July 27, 1995 - March 4, 1996
SUTRO & CO. INCORPORATED
April 28, 1994 - July 22, 1995
VOLPE BROWN WHELAN & COMPANY, LLC
January 20, 1993 - May 6, 1994
ROTH CAPITAL PARTNERS, LLC
March 13, 1992 - June 9, 1992
ROTH CAPITAL PARTNERS, LLC
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 55
Date: 2/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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