Robert H. 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.
Robert Hector Martin, who also goes by Robert Martin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1962. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 5, 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
November 25, 2013 - May 2, 2016
D.A. DAVIDSON & CO.
November 25, 2013 - May 2, 2016
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
September 3, 2010 - November 4, 2013
CROWELL, WEEDON & CO.
September 3, 2010 - November 4, 2013
CROWELL, WEEDON & CO.
June 1, 2009 - September 23, 2010
MORGAN STANLEY
June 1, 2009 - September 23, 2010
MORGAN STANLEY
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
October 24, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 16, 1979 - November 14, 1984
LEHMAN BROTHERS INC.
September 26, 1978 - March 25, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1978 - July 16, 1979
LOEB PARTNERS
May 18, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
February 23, 1962 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/23/1962
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 |
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.
