Jan S. Martell
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.
Jan Steven Martell, who also goes by Jan S Martell, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 2000. Jan had worked at 12 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 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
February 26, 2020 - November 24, 2020
HRC FUND ASSOCIATES, LLC
January 26, 2018 - July 16, 2019
NAVIAN CAPITAL SECURITIES LLC
December 17, 2014 - February 16, 2016
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 20, 2012 - January 2, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2012 - January 2, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2011 - November 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2011 - November 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2010 - June 10, 2011
CUSO FINANCIAL SERVICES, L.P.
May 7, 2010 - June 10, 2011
CUSO FINANCIAL SERVICES, L.P.
September 21, 2009 - April 1, 2010
VOYA INVESTMENT MANAGEMENT CO. LLC
September 9, 2009 - April 1, 2010
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 12, 2007 - September 4, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 11, 2007 - September 4, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 6, 2006 - November 5, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 20, 2005 - June 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2005 - June 8, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - January 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 19, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
October 6, 2000 - October 20, 2004
QUICK & REILLY, 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
HRC FUND ASSOCIATES, LLC
CRD#: 142846 / SEC#: , 8-67496
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, SCOTT DAVID | MEMBER; FINOP, CFO | 1912249 |
| FONTANA, VICTOR J JR. | CONTROLLER | 6054744 |
| FONTANA, VICTOR JOSEPH | MEMBER, PRESIDENT, COO | 1240936 |
| HILL, RAYMOND ALEXANDER III | MEMBER | 1950094 |
| REICK, TIMOTHY WILLIAM | CEO, MEMBER | 4384534 |
| THE DANIELS GST TRUST | MEMBER | |
| THE FONTANA GST TRUST | MEMBER | |
| THE RAYMOND HILL GST TRUST | MEMBER | |
| DANIELS, SCOTT DAVID | TRUSTEE - THE FONTANA GST TRUST | 1912249 |
| DANIELS, SCOTT DAVID | TRUSTEE - THE RAYMOND HILL GST TRUST | 1912249 |
| DANIELS, TERI ANN | TRUSTEE - THE DANIELS GST TRUST | 6154120 |
| FONTANA, CHRISTINE LYNN | TRUSTEE - THE FONTANA GST TRUST | 6153900 |
| FONTANA, VICTOR JOSEPH | TRUSTEE - THE DANIELS GST TRUST | 1240936 |
| NOWACK, ANDREW PETER | CCO, GENERAL COUNSEL | 2488500 |
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.
