Matthew 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.
Matthew Martin was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2002. Matthew had worked at 3 firms and has passed the Series 63, Series 55, Series 3 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
January 19, 2011 - July 17, 2013
INVESTEC SECURITIES (US) LLC
June 7, 2006 - October 22, 2010
AUERBACH GRAYSON & COMPANY LLC
October 29, 2002 - March 29, 2005
GOLDMAN SACHS & CO. 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: 11/15/2002
Limited Representative-Equity Trader ExamCurrent Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
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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