Tom H. Martindale
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.
Tom Howard Martindale was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1993. Tom had worked at 8 firms and has passed the Series 63, 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
February 20, 2002 - August 8, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 25, 2001 - December 31, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 26, 2000 - May 4, 2001
HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC
September 15, 1999 - August 21, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 23, 1997 - September 2, 1999
E*OFFERING
April 11, 1997 - April 24, 1997
E*OFFERING
February 3, 1995 - April 24, 1995
FORTA FINANCIAL GROUP, INC.
March 23, 1994 - April 25, 1995
CITIGROUP GLOBAL MARKETS INC.
October 25, 1993 - August 10, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 3, 1993 - October 26, 1993
CHATFIELD DEAN & CO., 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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
