Steven Martini
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.
Steven Martini was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1993. Steven had worked at 11 firms and has passed the Series 65, Series 63 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
August 28, 2008 - January 21, 2009
DAVID LERNER ASSOCIATES, INC.
September 29, 2006 - January 9, 2007
PNC WEALTH MANAGEMENT LLC
August 2, 2006 - January 9, 2007
PNC WEALTH MANAGEMENT LLC
October 24, 2005 - March 2, 2006
ALLSTATE FINANCIAL SERVICES, LLC
October 11, 2004 - October 27, 2004
IDS LIFE INSURANCE COMPANY
October 11, 2004 - October 27, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2004 - June 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
March 1, 2004 - June 7, 2004
MSI FINANCIAL SERVICES, INC.
November 11, 2003 - February 20, 2004
ESSEX NATIONAL SECURITIES, LLC
November 10, 2003 - February 20, 2004
ESSEX NATIONAL SECURITIES, LLC
May 10, 2002 - August 21, 2003
CITIGROUP GLOBAL MARKETS INC.
December 22, 1997 - August 21, 2003
CITIGROUP GLOBAL MARKETS INC.
June 13, 1994 - November 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1993 - April 26, 1994
HIBBARD BROWN & 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
