Juan E. Martinez
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.
Juan Emilio Martinez, who also goes by John Martinez, Emilio Martinez, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 2000. Juan had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2009 - September 24, 2010
JOHN THOMAS FINANCIAL
January 18, 2008 - May 16, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
April 4, 2007 - December 13, 2007
J.P. TURNER & COMPANY, L.L.C.
June 8, 2004 - March 23, 2007
GUNNALLEN FINANCIAL, INC
August 7, 2002 - June 16, 2004
J.P. TURNER & COMPANY, L.L.C.
May 2, 2002 - August 7, 2002
PERROTT, MATHER & GILDAY, INC.
April 24, 2000 - April 3, 2002
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
