Martin Rokeach
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.
Martin Rokeach was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1973. Martin had worked at 19 firms and has passed the Series 63, Series 1, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2001 - December 10, 2003
MIDSOUTH CAPITAL, INC.
July 16, 1997 - September 7, 2001
FIRST SECURITY INVESTMENTS, INC.
January 26, 1995 - June 17, 1997
AEGIS CAPITAL CORP.
December 8, 1994 - January 17, 1995
MEYERS POLLOCK ROBBINS, INC.
February 26, 1993 - October 5, 1994
THE STAMFORD COMPANY, INC.
November 14, 1990 - December 17, 1992
HAMPSHIRE SECURITIES CORPORATION
October 2, 1989 - July 11, 1990
STUART, COLEMAN & CO., INC.
April 11, 1989 - July 18, 1989
STATEN SECURITIES CORPORATION
June 30, 1988 - February 17, 1989
GLEACHER & COMPANY SECURITIES, INC.
January 4, 1988 - April 9, 1988
BAIRD, PATRICK & CO., INC.
May 20, 1986 - January 7, 1988
SWARTWOOD, HESSE INC.
May 21, 1985 - May 15, 1986
MOSELEY SECURITIES CORPORATION
April 26, 1985 - May 9, 1985
KUHNS BROTHERS & LAIDLAW, INC.
December 6, 1982 - October 4, 1985
PHILIPS, APPEL & WALDEN, INC.
February 8, 1982 - November 3, 1982
TUCKER ANTHONY INCORPORATED
November 23, 1976 - January 11, 1982
THOMSON MCKINNON SECURITIES INC.
April 6, 1976 - January 13, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 21, 1975 - April 8, 1976
REYNOLDS SECURITIES, INC.
January 22, 1974 - April 24, 1975
BACHE & CO INCORPORATED
October 10, 1973 - January 24, 1974
REYNOLDS SECURITIES, 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: 10/8/1973
Registered Representative ExaminationSeries 8
Date: 8/17/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
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.
