Christopher S. 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.
Christopher St George Leon Martin, who also goes by Christopher L Martin, Christopher St. George Leon Martin, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 5 firms and has passed the Series 63, SIE 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
December 9, 2008 - February 20, 2015
E*TRADE CLEARING LLC
April 26, 2006 - December 9, 2008
E*TRADE SECURITIES LLC
May 24, 2005 - September 22, 2005
METROPOLITAN LIFE INSURANCE COMPANY
May 24, 2005 - September 22, 2005
MSI FINANCIAL SERVICES, INC.
October 24, 2001 - August 5, 2004
GRODSKY ASSOCIATES, 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
E*TRADE CLEARING LLC
CRD#: 25025 / SEC#: , 8-41354
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ENGEL, STEVEN JAY | MANAGER | 6474140 |
| INGGS, DAVID M | MANAGER | 4875173 |
| INGGS, DAVID M | CHIEF EXECUTIVE OFFICER | 4875173 |
| INGGS, DAVID M | PRESIDENT | 4875173 |
| MASTRIANNI, JOSEPH FRANCIS | CHIEF COMPLIANCE OFFICER | 1131254 |
| MURRAY, MATTHEW ANDREW | CHIEF OPERATIONS OFFICER | 4009310 |
| MURRAY, MATTHEW ANDREW | MANAGER | 4009310 |
| SHER, LORI SUE | SECRETARY | 5509677 |
| SIMONICH, BRENT BLAIN | FINOP | 3254859 |
| SIMONICH, BRENT BLAIN | MANAGER | 3254859 |
| SIMONICH, BRENT BLAIN | CHIEF FINANCIAL OFFICER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 1 |
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.
