Frank L. 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.
Frank L. Martin, who also goes by Frangel L. Martin, Frangel Martin, Frank L Martin, Frank Levi Martin, Frank Martin, Frangel Levi Martinez, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1997. Frank had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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
August 6, 2019 - February 9, 2026
LPL FINANCIAL LLC
July 26, 2019 - February 9, 2026
LPL FINANCIAL LLC
October 23, 2015 - August 26, 2019
ARIVE CAPITAL MARKETS
August 24, 2011 - October 29, 2015
J.P. TURNER & COMPANY, L.L.C.
June 19, 2009 - July 26, 2010
J.P. TURNER & COMPANY, L.L.C.
March 8, 2007 - December 31, 2008
INVESTORS CAPITAL CORP.
December 1, 2001 - March 16, 2007
SOURCE CAPITAL GROUP, INC.
November 12, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
July 13, 2001 - November 9, 2001
BLUESTONE CAPITAL CORP.
August 24, 1999 - July 12, 2001
DALTON KENT SECURITIES GROUP, INC.
February 4, 1999 - June 4, 1999
JOSEPHTHAL & CO., INC.
May 21, 1997 - March 9, 1998
CONTINENTAL BROKER-DEALER CORP.
March 6, 1997 - June 4, 1997
LADENBURG CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
