Christopher Martin

Some features on this profile are disabled

CRD#: 2464270

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.

Christopher Martin, who also goes by Christopher Lee Martin, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 10 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Lee Martin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 5, 2018 - April 18, 2019

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

September 16, 2008 - March 1, 2018

GREYWOLF EXECUTION PARTNERS, INC.

CRD#: 147790

New York, NY

Past

October 18, 2007 - November 24, 2008

ABN AMRO CLEARING USA LLC

CRD#: 14020

CHICAGO, IL

Past

March 2, 2005 - October 24, 2007

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

June 18, 2003 - February 24, 2005

WJB CAPITAL GROUP, INC.

CRD#: 37334

NEW YORK, NY

Past

June 10, 2002 - May 2, 2003

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

July 1, 1998 - June 11, 2002

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 9, 1998 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

July 9, 1996 - May 1, 1998

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

May 13, 1994 - July 1, 1996

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 25

Date: 10/9/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 55

Date: 4/8/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/12/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2008

General Securities Principal Examination

Current Firm

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196 / SEC#: , 8-43487

Terminated by SEC on 09/09/2023

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 11/30/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TP ICAP AMERICAS HOLDINGS INC.	100% OWNER
BERNARDO, SHAWN FRANCIS	CEO	2513376
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY	4769810
PEZEU, CHRISTIAN JEAN MICHEL	PRINCIPAL FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREYWOLF EXECUTION PARTNERS, INC.

ABN AMRO CLEARING USA LLC

DRIVEWEALTH INSTITUTIONAL LLC

WJB CAPITAL GROUP, INC.

GLEACHER & COMPANY SECURITIES, INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

CANTOR FITZGERALD & CO.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1994

SIE

Date: 10/1/2018

Series 25

Date: 10/9/2003

Series 55

Date: 4/8/2000

Series 7

Date: 5/12/1994

Series 24

Date: 5/22/2008

Current Firm

TULLETT PREBON FINANCIAL SERVICES LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TULLETT PREBON FINANCIAL SERVICES LLC

TRUST BUT VERIFY

Similar Advisors