John M. 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.
John Michael Martin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 5 firms and has passed the Series 63, Series 65, Series 66, 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
March 29, 2017 - September 5, 2019
PURSHE KAPLAN STERLING INVESTMENTS
March 8, 2011 - October 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 13, 2003 - February 25, 2004
NYLIFE SECURITIES LLC
January 21, 2003 - June 10, 2003
1ST GLOBAL ADVISORS INC
December 4, 2001 - May 22, 2003
1ST GLOBAL CAPITAL CORP.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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