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Martin Cass

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CRD#: 3007774
MC

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 Cass was a registered financial professional .

Martin is a previously registered financial professional and started their career in finance in 1998. Martin had worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

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

September 25, 2009 - August 10, 2016

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 131631
WEST PALM BEACH, FL
Past

August 12, 2009 - August 10, 2016

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
WEST PALM BEACH, FL
Past

October 1, 2008 - September 11, 2009

AEGIS CAPITAL, LLC

RIA
CRD#: 125376
CHARLOTTE, NC
Past

November 9, 2007 - August 24, 2009

TRIAD ADVISORS LLC

BD
CRD#: 25803
WEST PALM BEACH, FL
Past

October 31, 2005 - November 18, 2005

OSAIC SERVICES, INC.

RIA
CRD#: 133763
PHOENIX, AZ
Past

October 31, 2005 - November 18, 2005

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

February 26, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA
CRD#: 20068
WEST PALM BEACH, FL
Past

February 3, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

November 4, 2002 - February 2, 2004

LEGACY ADVISORY SERVICES, INC.

RIA
CRD#: 111027
WEST PALM BEACH, FL
Past

September 16, 2002 - February 2, 2004

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

January 10, 2001 - November 8, 2002

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
WEST PALM BEACH, FL
Past

January 10, 2001 - November 8, 2002

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

April 29, 1998 - December 31, 2000

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA

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
IAR
Series 65
Date: 8/12/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/10/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/28/1998
General Securities Representative Examination

Current Firm

CG
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
ALPERN FINANCIAL | SPARGER INVESTMENT SERVICES | SENIOR WEALTH MANAGEMENT | RHINO WEALTH MANAGEMENT | PROVIDENCE FINANCIAL SERVICES | PROTRUST ADVISORS | PLUS POINT ADVISORS | MOREHEAD PLAN ADMINISTRATORS | MILLER FINANCIAL | MCMAHAN & ASSOCIATES | MASTERS PCG | IPS FINANCIAL SERVICES CORP. D/B/A MCMAHAN & ASSOCIATES | IPS FINANCIAL SERVICES CORP. | INTRACOASTAL GROUP | IBEX CAPITAL | HORIZON FINANCIAL SERVICES | HARVEST CAPITAL | FORTIUS WEALTH MANAGEMENT | FINANCIAL AND TAX STRATEGIES | ED KIRKLAND & COMPANY | DIANNE ODOM, CPA | DANNY DAHL FINANCIAL | CURRY & CURRY | CENTERMARK CAPITAL MANAGEMENT | CAPITAL PLAN ADVISORS | CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC | CAPITAL GUARDIAN WEALTH MANAGEMENT | BLANCHARD FINANCIAL SERVICES | ARCHER INVESTMENT MANAGEMENT

CRD#: 131631 / SEC#: 801-63969

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Contact information

Main Address
1395 Brickell Avenue, Suite 800, Miami, FL 33131
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CRD#: 131631

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