MM
Martin W. Mcnees
MADISON AVENUE SECURITIES
San Diego, CA 92128
Some features on this profile are disabled
CRD#: 3168410
MM
Professional summary
Martin William Mcnees, who also goes by Martin Mcnees, Marty Mcnees, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in San Diego, California.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Martin has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Martin Mcnees | Marty Mcnees
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.
1.) NAME: AE FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: 2950 SW MCCLURE RD, TOPEKA, KS 66614; NATURE OF THE BUSINESS: BROKER-DEALER; POSITION: PRESIDENT; HOURS PER WEEK: 2-5 HOURS; START DATE: 4/1/2025
CRS (Client Relationship Summary) - RIA
Click below to view Martin William Mcnees's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin William Mcnees's 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®
NoneExperience
Current
March 25, 2009 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 13500 Evening Creek Dr. N #555, San Diego, CA 92128Office #2: 13500 Evening Creek Dr N #555, San Diego, CA 92128RIA
BD
CRD#: 23224
San Diego, CA
Current
January 5, 2006 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 13500 Evening Creek Dr N #555, San Diego, CA 92128Office #2: 13500 Evening Creek Dr N #555, San Diego, CA 92128RIA
BD
CRD#: 23224
San Diego, CA
Current
April 16, 2025 - Present
AE FINANCIAL SERVICES, LLC
Office #1: 13500 Evening Creek Dr N #555, San Diego, CA 92128BD
CRD#: 298608
San Diego, CA
Past
September 21, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
SAN DIEGO, CA
Past
September 22, 1999 - June 14, 2005
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 11, 1999 - July 14, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(3/28/2017)
RR
Alaska(3/28/2017)
RR
Arizona(8/23/2010)
RR
Arkansas(4/21/2009)
RR
California(1/5/2006)
IAR
California(3/25/2009)
RR
Connecticut(5/26/2015)
RR
Delaware(3/28/2017)
RR
District of Columbia(10/23/2018)
RR
Georgia(10/29/2015)
RR
Hawaii(7/27/2009)
RR
Idaho(11/1/2007)
RR
Illinois(5/19/2009)
IAR
Iowa(3/25/2009)
RR
Kansas(11/1/2007)
RR
Kentucky(7/17/2009)
RR
Louisiana(11/1/2007)
RR
Maine(11/1/2007)
RR
Maryland(11/1/2007)
RR
Massachusetts(11/1/2007)
RR
Michigan(11/1/2007)
RR
Minnesota(11/1/2007)
RR
Mississippi(8/6/2008)
RR
Missouri(11/1/2007)
IAR
Missouri(3/25/2009)
RR
Montana(8/6/2008)
RR
Nebraska(3/28/2017)
IAR
Nevada(3/25/2009)
RR
Nevada(3/28/2017)
RR
New Hampshire(6/10/2009)
RR
New Jersey(8/6/2008)
IAR
New Jersey(3/25/2009)
RR
New Mexico(8/6/2008)
IAR
New Mexico(3/25/2009)
RR
New York(8/6/2008)
RR
North Carolina(8/6/2008)
IAR
North Carolina(3/25/2009)
RR
North Dakota(3/28/2017)
RR
Ohio(8/6/2008)
IAR
Ohio(3/25/2009)
RR
Oklahoma(11/1/2007)
RR
Oregon(11/1/2007)
RR
Pennsylvania(11/1/2007)
IAR
Pennsylvania(3/25/2009)
RR
Rhode Island(3/28/2017)
IAR
South Carolina(3/25/2009)
RR
South Dakota(4/14/2009)
IAR
Tennessee(3/25/2009)
RR
Tennessee(3/28/2017)
RR
Texas(11/1/2007)
IAR
Texas(3/25/2009)
RR
Utah(11/1/2007)
RR
Vermont(8/6/2008)
IAR
Vermont(3/25/2009)
RR
Virginia(8/6/2008)
IAR
Virginia(3/25/2009)
RR
Washington(8/6/2008)
IAR
Washington(3/25/2009)
RR
West Virginia(11/1/2007)
RR
Wisconsin(8/6/2008)
IAR
Wisconsin(3/25/2009)
RR
Wyoming(11/1/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
