Thomas C. 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.
Thomas Charles Martin was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 6 firms and has passed the Series 7, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 1985 - May 9, 1986
HOMESTEAD SECURITIES, INC.
July 1, 1983 - September 4, 1985
MARVEST SECURITIES, INC.
April 25, 1977 - September 6, 1977
C. J. LANE & COMPANY INCORPORATED
December 21, 1976 - May 12, 1977
UNDERHILL ASSOCIATES, INCORPORATED
May 11, 1971 - July 25, 1974
FAHNESTOCK INTERNATIONAL INC.
December 18, 1969 - May 19, 1971
THOMSON MCKINNON & AUCHINCLOSS 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: 11/22/1968
Registered Representative ExaminationCurrent Firm
HOMESTEAD SECURITIES, INC.
CRD#: 15162 / SEC#: , 8-31764
Contact information
Documents
Red Flags
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