Faith 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.
Faith Martin, who also goes by Faith Ellen Martin, was a registered financial professional .
Faith is a previously registered financial professional and started their career in finance in 1992. Faith had worked at 7 firms and has passed the Series 66, Series 7, Series 9, Series 10 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
February 10, 2014 - June 30, 2014
CETERA INVESTMENT ADVISERS LLC
September 19, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
September 12, 2013 - June 30, 2014
CETERA INVESTMENT SERVICES LLC
November 28, 2012 - September 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2012 - September 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2011 - October 23, 2012
LPL FINANCIAL LLC
March 28, 2011 - October 23, 2012
LPL FINANCIAL LLC
August 11, 2009 - March 29, 2011
EDWARD JONES
August 3, 2009 - March 29, 2011
EDWARD JONES
December 3, 1992 - April 9, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 27, 1992 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 27, 1992 - April 9, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
