Michael L. 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.
Michael Lee Martin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1974. Michael had worked at 4 firms and has passed the Series 7, Series 1 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 1976 - June 6, 1977
FIRST MID-AMERICA INC.
November 4, 1975 - May 8, 1976
DICKINSON & CO.
September 26, 1975 - April 4, 1977
CVR FINANCIAL CORPORATION OF AMERICA, INC.
August 28, 1974 - May 3, 1975
NIES/BRAUER SECURITIES, INC.
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: 8/22/1974
Registered Representative ExaminationCurrent firm
No current employment
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.
