Caspar M. Unterreiner
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.
Caspar Martin Unterreiner, who also goes by C. Martin Unterreiner, Marty Unterreiner, was a registered financial advisor .
Caspar is a previously registered financial advisor and started their career in finance in 1967. Caspar had worked at 13 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2005 - October 4, 2007
PROACTIVEMONEY.COM/LLC
January 25, 1999 - July 22, 2005
PROACTIVE MONEY MANAGEMENT INC
October 23, 1996 - December 31, 2002
THOMASLLOYD CAPITAL LLC
May 9, 1990 - October 28, 1994
FFP SECURITIES, INC.
August 29, 1989 - May 7, 1990
ALL AMERICAN MANAGEMENT CORPORATION
May 12, 1989 - August 22, 1989
FIRST AFFIRMATIVE FINANCIAL NETWORK, INC.
September 28, 1987 - April 11, 1989
FORTH FINANCIAL SECURITIES, CORPORATION
November 6, 1985 - September 22, 1987
INVESTORS BROKERAGE SERVICES, INC.
September 30, 1976 - May 7, 1990
ALL AMERICAN MANAGEMENT CORPORATION
September 30, 1974 - October 7, 1976
INTERNATIONAL SECURITIES CORP.
August 22, 1973 - February 21, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
May 9, 1973 - July 8, 1974
INVESTMENT SECURITIES CORPORATION
May 5, 1972 - June 9, 1973
BUSH AND COMPANY INCORPORATED
March 6, 1967 - June 18, 1972
FLOTRON, KAHRHOFF & CO.
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 1
Date: 6/23/1966
Registered Representative ExaminationCurrent firm
No current employment
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.
