Marti E. Liston
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.
Marti E Liston, who also goes by Marti E Franklin, Marti Franklin, was a registered financial professional .
Marti is a previously registered financial professional and started their career in finance in 1995. Marti had worked at 3 firms and has passed the Series 63, SIE, Series 31 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
January 7, 2011 - December 31, 2014
ALLIANCE FINANCIAL GROUP, INC.
June 1, 2009 - September 22, 2010
MORGAN STANLEY
June 1, 2009 - September 22, 2010
MORGAN STANLEY
November 19, 1996 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 9, 1995 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
ALLIANCE FINANCIAL GROUP, INC.
CRD#: 28538 / SEC#: , 8-43788
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE FINANCIAL HOLDINGS, LLC | SHAREHOLDER | |
| BEST, CHARLES MCCOMBER | CHAIRMAN/CEO/DIRECTOR | 20486 |
| BROTT, CLIFFORD JOHN JR | SENIOR VICE PRESIDENT/DIRECTOR | 31829 |
| BURNS, KAREN RAYBURN | VICE PRESIDENT/CCO/DIRECTOR/SECRETARY | 2482528 |
| GENDLER, STEVEN HERBERT | SENIOR VICE PRESIDENT/DIRECTOR | 1075091 |
| LISTON, JACK D III | PRESIDENT/COO/DIRECTOR | 2405320 |
| STERLING, DONALD WILLIAM | FINOP | 1192425 |
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.
