Ivan 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.
Ivan Martinez was a registered financial professional .
Ivan is a previously registered financial professional and started their career in finance in 2001. Ivan had worked at 4 firms and has passed the Series 63, Series 55, Series 7 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
October 21, 2008 - April 26, 2013
BGB SECURITIES, INC.
August 5, 2003 - September 5, 2008
B. RILEY SECURITIES, INC.
September 18, 2001 - June 24, 2003
WORLDCO, L.L.C.
June 22, 2001 - August 7, 2001
UBS SECURITIES LLC
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 55
Date: 9/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
BGB SECURITIES, INC.
CRD#: 36716 / SEC#: , 8-47398
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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