Thomas D. Martin
Professional summary
Thomas Dominick Martin, who also goes by Thomas D Martin, is a registered financial professional currently at THE VERTICAL GROUP located in Red Bank, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Dominick Martin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2003 - Present
THE VERTICAL GROUP
Office #1: 130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701March 3, 2003 - May 21, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
December 13, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
March 14, 2002 - August 19, 2002
LADENBURG THALMANN & CO. INC.
October 8, 1993 - January 11, 1994
BILTMORE SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/15/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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