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RM

Roland G. Martinez

Some features on this profile are disabled
CRD#: 4188460
RM

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.

Roland Gerald Martinez was a registered financial professional .

Roland is a previously registered financial professional and started their career in finance in 2000. Roland had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 18, 2020 - August 20, 2020

FISHER INVESTMENTS

RIA
CRD#: 107342
PLANO, TX
Past

February 13, 2015 - July 5, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
ST. LOUIS, MO
Past

February 10, 2015 - June 19, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
ST. LOUIS, MO
Past

April 30, 2014 - December 23, 2014

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
GREENWOOD VILLAGE, CO
Past

April 22, 2014 - December 22, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past

August 7, 2013 - February 24, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MANCHESTER, NH
Past

August 7, 2013 - February 24, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MANCHESTER, NH
Past

March 25, 2008 - July 8, 2013

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

February 4, 2004 - July 8, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

January 7, 2003 - February 6, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

June 26, 2000 - December 31, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/25/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/29/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/25/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/18/2005
General Securities Sales Supervisor - Options Module Examination

Current Firm

FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)
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Contact information

Main Address
6500 International Pkwy Ste 2050, Plano, TX 75093-8222
Mailing Address
Phone number
(800) 851-8845
Established
Firm type
Fiscal year end
# of Employees
4,065

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)
CANADA PRIVATE CLIENT (2/5/2025)
UNITED KINGDOM PRIVATE CLIENT (2/5/2025)
INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts360,116
AUM (Assets Under Management)$ 298,729,428,900

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.

Company Information

FISHER INVESTMENTS

FISHER INVESTMENTS

CRD#: 107342

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