Richard A. 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.
Richard Allen Martin was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1965. Richard had worked at 7 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2002 - November 10, 2014
PHILADELPHIA INVESTORS, LTD.
December 9, 1994 - June 6, 2002
JANNEY MONTGOMERY SCOTT LLC
August 25, 1989 - December 21, 1994
LEGG MASON WOOD WALKER, INCORPORATED
August 24, 1988 - August 31, 1989
BOENNING & SCATTERGOOD, INC.
November 3, 1987 - May 5, 1988
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 3, 1987
LEGG MASON MASTEN INC.
July 7, 1982 - December 21, 1994
LEGG MASON WOOD WALKER, INCORPORATED
June 2, 1982 - July 12, 1982
PRUDENTIAL EQUITY GROUP, LLC
April 15, 1972 - August 11, 1982
ELKINS & CO.
December 16, 1965 - May 5, 1972
JANNEY MONTGOMERY SCOTT LLC
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
PC
Date: 12/8/1994
AMEX Put and Call ExamSeries 1
Date: 8/27/1959
Registered Representative ExaminationCurrent Firm
PHILADELPHIA INVESTORS, LTD.
CRD#: 23905 / SEC#: , 8-40805
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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