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SM

Seth B. Martin

STERN BROTHERS & CO.
St. Louis, MO 63105-3911
Some features on this profile are disabled
CRD#: 2930803
SM

Professional summary

Seth Benjamin Martin, who also goes by Seth B Martin, is a registered financial professional currently at STERN BROTHERS & CO. located in St. Louis, Missouri.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2005. Seth has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth B Martin

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) - BD

Click below to view Seth Benjamin Martin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 17, 2025 - Present

STERN BROTHERS & CO.

Office #1: 8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
BD
CRD#: 16325
St. Louis, MO
Past

September 5, 2017 - October 21, 2025

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
ALBANY, NY
Past

April 21, 2009 - July 21, 2017

C. L. KING & ASSOCIATES, INC.

BD
CRD#: 6183
ALBANY, NY
Past

November 1, 2005 - May 27, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/17/2025)
RR
Colorado
(11/17/2025)
RR
Connecticut
(11/17/2025)
RR
Illinois
(11/17/2025)
RR
Iowa
(11/17/2025)
RR
Massachusetts
(11/17/2025)
RR
Michigan
(11/17/2025)
RR
New Jersey
(11/17/2025)
RR
New York
(11/17/2025)
RR
Ohio
(11/17/2025)
RR
Pennsylvania
(11/17/2025)
RR
Texas
(11/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SB
STERN BROTHERS & CO.
BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Mailing Address
8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911
Phone number
(314) 727-5519
Established
Missouri since 01/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDEDTRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012TRUST
CLEMENTS, DONALD SIDNEYCHIEF TECHNOLOGY OFFICER4440518
ESSERT, GLENN EDWARDCHIEF COMPLIANCE OFFICER, AMLCO1447868
FINN, PEGGY PRINCECHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE730640
FINN, TERRENCE MICHAELPRESIDENT, DIRECTOR1102166
MIRIANI, JASON ANDREWCFO, TREASURER4547660
WARREN, KAREN KAYPRINCIPAL OPERATIONS OFFICER1316200

Disclosures

Regulatory Event1

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

STERN BROTHERS & CO.

CRD#: 16325St. Louis, MO 63105-3911

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