Thomas S. Martin

BRIGHTON SECURITIES

Santa Fe, NM 87505

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CRD#: 4500330

Professional summary

Thomas S Martin, CFP®, who also goes by Thomas S Martin, is a registered financial professional currently at BRIGHTON SECURITIES CORP. located in Santa Fe, New Mexico.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas S Martin

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) - BD

Click below to view Thomas S Martin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 2, 2020 - Present

BRIGHTON SECURITIES CORP.

Office #1: 460 Saint Michaels Drive Suite 1101, Santa Fe, NM 87505

RIA

CRD#: 3875

Santa Fe, NM

Past

September 22, 2017 - December 24, 2019

EK RILEY INVESTMENTS, LLC

RIA

CRD#: 121003

Santa Fe, NM

Past

September 5, 2017 - October 2, 2020

EK RILEY INVESTMENTS, LLC

CRD#: 121003

Santa Fe, NM

Past

January 22, 2007 - August 10, 2017

EDWARD JONES

RIA

CRD#: 250

SANTA FE, NM

Past

April 2, 2002 - August 10, 2017

EDWARD JONES

CRD#: 250

SANTA FE, NM

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".

BRIGHTON SECURITIES CORP.

BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.

CRD#: 3875 / SEC#: 801-62276, 8-14599

RIA

Registered Investment Advisory firm - SEC (9/8/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/2/2020)

Colorado
(11/5/2020)

Minnesota
(5/27/2025)

New Mexico
(10/2/2020)

Oregon
(10/8/2020)

Texas
(10/12/2020)

Washington
(10/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/28/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BRIGHTON SECURITIES CORP.

BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.

CRD#: 3875 / SEC#: 801-62276, 8-14599

RIA

Registered Investment Advisory firm - SEC (9/8/2003 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1703 Monroe Avenue, Rochester, NY 14618

Mailing Address

1703 Monroe Avenue, Rochester, NY 14618-1487

Phone number

(585) 473-3590

Established

New York since 03/05/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (21 States and Territories)

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BSC ADV PART II - OCTOBER 2025 (10/1/2025)

Direct owners and executive officers

Name	Position	CRD#
BRIGHTON SECURITIES HOLDINGS INC	OWNER
ALBERTS, LORI ANN	CCO
ALBERTS, LORI ANN	CEO	2574827
CONBOY, GEORGE THOMAS	CHAIRMAN	1283395
LEACH, JENNY LEE	DIRECTOR OF COMPLIANCE	3257861
MELONI, EKATERINA A	FINOP	7923218

Regulatory assets under management

Total Number of Accounts	3,384
AUM (Assets Under Management)	$ 986,154,864

Disclosures

Regulatory Event	7
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/02/2025	Cover Page	Report
03/01/2024	Cover Page	Report
03/20/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas S. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas S Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

EK RILEY INVESTMENTS, LLC

EK RILEY INVESTMENTS, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

BRIGHTON SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/28/2006

Series 63

Date: 4/4/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2002

Series 24

Date: 4/18/2002

FINRA

Current Firm

BRIGHTON SECURITIES CORP.

Contact information

SEC notice filing (21 States and Territories)

FINRA licenses (36 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

BRIGHTON SECURITIES CORP.

TRUST BUT VERIFY

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