Eric S. Martinez
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.
Eric Scott Martinez was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1999. Eric had worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2026 - July 15, 2026
LPL FINANCIAL LLC
May 28, 2026 - July 15, 2026
LPL FINANCIAL LLC
April 6, 2026 - May 26, 2026
XNERGY FINANCIAL LLC
May 15, 2024 - July 3, 2025
GROVE POINT INVESTMENTS, LLC
February 7, 2014 - March 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
February 7, 2014 - March 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
February 21, 2013 - December 16, 2013
U.S. BANCORP INVESTMENTS, INC.
February 21, 2013 - December 16, 2013
U.S. BANCORP INVESTMENTS, INC.
June 9, 2011 - April 4, 2012
GRADIENT SECURITIES, LLC
March 9, 2011 - September 22, 2011
FREESTONE CAPITAL MANAGEMENT, LLC
March 9, 2011 - September 22, 2011
FREESTONE SECURITIES, LLC
February 3, 2006 - April 20, 2009
RUSSELL INVESTMENTS
January 30, 2006 - April 20, 2009
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
May 26, 1999 - December 31, 2000
WADDELL & REED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
