John H. 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.
John Harold Martin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2014 - December 31, 2015
PURSHE KAPLAN STERLING INVESTMENTS
September 4, 2014 - March 13, 2017
TRUE PRIVATE WEALTH ADVISORS, LLC
May 4, 2011 - February 27, 2015
SCA
April 25, 2011 - September 5, 2014
KMS FINANCIAL SERVICES, INC.
April 25, 2011 - September 5, 2014
KMS FINANCIAL SERVICES, INC.
January 1, 2004 - April 29, 2011
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - April 29, 2011
VOYA FINANCIAL ADVISORS, INC.
February 27, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
June 20, 2001 - October 14, 2002
VESTAX SECURITIES CORPORATION
June 9, 1999 - December 31, 2004
INDEPENDENT ADVISERS GROUP CORP
January 1, 1996 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 10, 1994 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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