King B. 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.
King Bernard Martin was a registered financial professional .
King is a previously registered financial professional and started their career in finance in 1968. King had worked at 6 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1 and Series 000 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2011 - January 7, 2021
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC
September 24, 2010 - November 28, 2011
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC
June 1, 2009 - October 11, 2010
MORGAN STANLEY
June 1, 2009 - October 11, 2010
MORGAN STANLEY
April 23, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 10, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
February 28, 1983 - April 9, 1984
FOSTER & MARSHALL INC.
June 3, 1968 - February 17, 1983
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC
CRD#: 159419 / SEC#: 801-72857
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 5
Date: 4/1/1982
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 5/29/1968
Registered Representative ExaminationSeries 000
Date: 5/21/1968
General Securities Principal ExaminationCurrent Firm
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC
CRD#: 159419 / SEC#: 801-72857
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 629 |
| AUM (Assets Under Management) | $ 1,415,517,164 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/23/2025 | ||
| 12/11/2024 | ||
| 06/06/2023 |
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.
