Kenneth E. Martin
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.
Kenneth Edward Martin, who also goes by Ken Martin, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1970. Kenneth had worked at 5 firms and has passed the Series 63, SIE, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2013 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 1, 2013 - December 31, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 31, 2001 - November 1, 2013
FIRST HEARTLAND CONSULTANTS, INC.
December 1, 1998 - October 31, 2013
FIRST HEARTLAND CAPITAL, INC.
October 12, 1998 - November 3, 1998
FIRST HEARTLAND CAPITAL, INC.
September 27, 1985 - October 9, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 31, 1978 - August 27, 1985
HI SECURITIES, INC.
July 14, 1970 - October 17, 1976
METROPOLITAN LIFE INSURANCE COMPANY
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 1
Date: 7/2/1970
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
