Scott R. 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.
Scott R Martin, who also goes by Scott R Martin, Scott Richard Martin, Scott Martin, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2018 - May 18, 2022
EMPOWER FINANCIAL SERVICES, INC.
July 18, 2017 - June 4, 2018
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 8, 2017 - July 20, 2017
WORLD INVESTMENTS, LLC
June 30, 2016 - October 20, 2016
VALIC FINANCIAL ADVISORS, INC.
July 25, 2014 - June 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 4, 2011 - September 3, 2013
ALLSTATE FINANCIAL SERVICES, LLC
June 2, 2009 - March 11, 2011
NEW ENGLAND SECURITIES
December 6, 2007 - February 24, 2009
OSAIC WEALTH, INC.
September 5, 2006 - July 10, 2007
COUNTRYWIDE INVESTMENT SERVICES, INC.
September 2, 2003 - September 7, 2006
OSAIC WEALTH, INC.
June 21, 2002 - August 18, 2003
NEW ENGLAND SECURITIES
April 6, 2000 - August 18, 2003
NEW ENGLAND SECURITIES
April 7, 1999 - March 22, 2000
SIGNATOR INVESTORS, INC.
September 1, 1998 - April 7, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 1, 1998 - April 7, 1999
EQUITABLE ADVISORS, LLC
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
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
