Sean C. 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.
Sean Craig Martin was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2017 - July 28, 2017
AGES FINANCIAL SERVICES, LTD.
April 22, 2016 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
November 18, 2014 - April 4, 2016
COVA CAPITAL PARTNERS LLC
August 16, 2011 - June 14, 2013
OCEAN CROSS CAPITAL MARKETS LLC
May 12, 2009 - August 16, 2011
SOUTHRIDGE INVESTMENT GROUP LLC
June 19, 2007 - December 5, 2008
TRIPOINT GLOBAL EQUITIES/BANQ(R)
August 22, 2002 - June 20, 2007
VFINANCE INVESTMENTS, INC
March 22, 2002 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
March 11, 1996 - April 11, 2002
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 20, 1996
CITIGROUP GLOBAL MARKETS INC.
August 31, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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