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DM

David R. Martin

Some features on this profile are disabled
CRD#: 2546230
DM

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.

David Ross Martin was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1994. David had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

August 7, 1998 - January 4, 1999

INVESTSCAPE INC.

BD
CRD#: 39992
WEST BLOOMFIELD, MI
Past

June 14, 1997 - May 27, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

December 22, 1994 - May 2, 1997

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA

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
RR
Series 63
Date: 12/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/20/1995
General Securities Principal Examination

Current Firm

II
INVESTSCAPE INC.
INVESTSCAPE INC.

CRD#: 39992 / SEC#: , 8-48935

BD
Terminated by SEC on 05/22/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 10/24/1995
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & L HOLDINGS, LTD.STOCKHOLDER
BERTHIAUME, KIRT GERARDFINANCIAL OPERATIONS/CFO2768765
LIM, RICHARD MICHAELPRESIDENT/ CCO2094646
LIM, RICHARD MICHAELSROP/CROP2094646

Disclosures

Regulatory Event4

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.

Company Information

INVESTSCAPE INC.

CRD#: 39992

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