Martin D. Amann

NATWEST MARKETS SECURITIES

Stamford, CT 06901

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CRD#: 4506555

Professional summary

Martin David Amann is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

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

Question & Answer

Are you a "fiduciary"?

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) - BD

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Certified licenses

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None

Experience

Current

November 5, 2018 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901

CRD#: 11707

Stamford, CT

Past

July 24, 2014 - October 17, 2018

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

October 20, 2008 - August 6, 2014

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 22, 2008 - October 22, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 28, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 3, 2004 - August 1, 2006

FIVE MILE CAPITAL SECURITIES LLC

CRD#: 115514

STAMFORD, CT

Past

May 29, 2002 - February 19, 2004

AIG INTERNATIONAL SECURITIES INC.

CRD#: 30647

GREENWICH, CT

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

Connecticut
(11/5/2018)

Exams

State Security Law Exam

Series 63

Date: 6/13/2002

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: 5/28/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

CRD#: 11707 / SEC#: , 8-37135

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

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Contact information

Main Address

600 Washington Boulevard, Stamford, CT 06901

Mailing Address

600 Washington Boulevard, Stamford, CT 06901

Phone number

(203) 897-2700

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RBS HOLDINGS USA INC.	SHAREHOLDER
AUSBURN, MICHAEL THOMAS	DIRECTOR / CHIEF FINACIAL OFFICER	2523037
BROWER, LISA	SECRETARY, GENERAL COUNSEL	6177644
BUCCI, MICHELLE A	CHIEF OPERATING OFFICER	5192971
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GIRARD, MICHELLE COLLEY	PRESIDENT / CHIEF EXECUTIVE OFFICER	2185240
ROOSE, SCOTT	DIRECTOR	2539705
SPEZZANO, CASEY RYAN	DIRECTOR	4678231

Disclosures

Regulatory Event	43
Civil Event	4

Red Flags

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Firm Stability Insights

Martin D. Amann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Martin David Amann's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNP PARIBAS SECURITIES CORP.

CREDIT SUISSE SECURITIES (USA) LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

FIVE MILE CAPITAL SECURITIES LLC

AIG INTERNATIONAL SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2002

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATWEST MARKETS SECURITIES INC.

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