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MB

Martin J. Brenner

Some features on this profile are disabled
CRD#: 29921
MB

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.

Martin James Brenner was a registered financial professional .

Martin is a previously registered financial professional and started their career in finance in 1969. Martin had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 25, 2007 - March 16, 2015

PFLUEGER & BAERWALD INC.

RIA
CRD#: 3023
SAN FRANCISCO, CA
Past

February 27, 1989 - March 16, 2015

PFLUEGER & BAERWALD INC.

BD
CRD#: 3023
SAN FRANCISCO, CA
Past

August 7, 1985 - March 14, 1989

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
Past

January 18, 1978 - November 27, 1978

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

September 7, 1976 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

May 16, 1973 - August 12, 1976

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

April 11, 1969 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/22/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 3/27/1969
Registered Representative Examination

Current Firm

P&
PFLUEGER & BAERWALD INC.
PFLUEGER & BAERWALD INC.

CRD#: 3023 / SEC#: , 8-17615

BD
Terminated by SEC on 05/30/2022
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Contact information

Main Address
220 Sansome St. Suite 1090, San Francisco, CA 94104-2725
Mailing Address
Phone number
Established
California since 04/11/1973
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JOSEPH B RUBY SEPARATE PROPERTY TRUST UAD 8/7/2019OWNER - LIVING TRUST
RUBY, JOSEPH BENJAMINTRUSTEE, PRESIDENT, SECRETARY, TREASURER, CCO4009139

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

PFLUEGER & BAERWALD INC.

CRD#: 3023

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