Jeannette T. 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.
Jeannette Tk Martin, who also goes by Jeannette T Kwong, Jeannette T K Martin, Jeannette T. K. Martin, Jeannette T Martin, was a registered financial professional .
Jeannette is a previously registered financial professional and started their career in finance in 1997. Jeannette had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2019 - May 6, 2025
RAYMOND JAMES & ASSOCIATES, INC.
June 5, 2019 - May 6, 2025
RAYMOND JAMES & ASSOCIATES, INC.
August 11, 2015 - December 20, 2018
SANCTUARY ADVISORS, LLC
January 6, 2015 - August 11, 2015
SANCTUARY SECURITIES, INC.
January 6, 2015 - December 20, 2018
SANCTUARY SECURITIES, INC.
February 7, 2013 - August 13, 2014
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
February 7, 2013 - August 13, 2014
MESIROW FINANCIAL, INC.
January 28, 2008 - November 20, 2012
ADVANCED EQUITIES, INC.
August 6, 2007 - November 20, 2012
ADVANCED EQUITIES, INC.
March 8, 2006 - August 21, 2007
FIRST ALLIED SECURITIES, INC.
March 4, 2003 - March 13, 2006
CITICORP INVESTMENT SERVICES
June 6, 2002 - March 3, 2003
GREAT LAKES ADVISORS, LLC
June 5, 2002 - March 3, 2003
WINTRUST INVESTMENTS LLC
January 13, 2001 - September 20, 2001
DEUTSCHE BANK SECURITIES INC.
September 18, 1998 - January 13, 2001
DB ALEX. BROWN LLC
February 20, 1997 - April 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
