Thomas B. Martin

CIRCLE ADVISERS

New York, NY 10170

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CRD#: 321626

Professional summary

Thomas Baxter Martin is a registered financial advisor currently at CIRCLE ADVISERS INC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Thomas has worked at 4 firms and has passed the Series 63, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) LIFE INSURANCE BROKERAGE (USING) 2 DBA'S: CIRCLE CONSULTING GROUP, INC. (A HOLDING COMPANY FOR CIRCLE ADVISERS, INC.) AND CIRCLE BENEFITS PLANNING, INC., 2 PARK AVE, 3RD FL, NEW YORK, NY 10016

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Baxter Martin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 1, 2021 - Present

CIRCLE ADVISERS INC

Office #1: 420 Lexington Avenue Suite 2500, New York, NY 10170

RIA

CRD#: 110818

New York, NY

Past

July 12, 1990 - October 14, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

NEW YORK, NY

Past

April 23, 1985 - June 27, 1990

CIRCLE PROPERTIES,LTD.

CRD#: 14563

Past

November 16, 1978 - July 29, 1985

PERSONAL ECONOMICS SECURITIES CORPORATION

CRD#: 6862

Past

December 8, 1972 - January 15, 1987

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/4/2021)

IAR

Texas
(9/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 12/4/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1984

General Securities Principal Examination

Current Firm

CIRCLE ADVISERS INC

CRD#: 110818 / SEC#: 801-18150

RIA

Registered Investment Advisory firm - (1/5/1983 Approved)

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Contact information

Main Address

420 Lexington Avenue Suite 2500, New York, NY 10170

Mailing Address

Phone number

(212) 885-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/26/2024)

Regulatory assets under management

Total Number of Accounts	1,184
AUM (Assets Under Management)	$ 819,802,922

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.

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Firm Stability Insights

Thomas B. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Baxter Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

CIRCLE PROPERTIES,LTD.

PERSONAL ECONOMICS SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

CIRCLE ADVISERS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/1984

Series 1

Date: 12/4/1972

Series 24

Date: 5/1/1984

Current Firm

CIRCLE ADVISERS INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CIRCLE ADVISERS INC

TRUST BUT VERIFY

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