Scott E. Martin

THORNBURG INVESTMENT MANAGEMENT

Denver, CO 80209

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CRD#: 4725418

Professional summary

Scott Evan Martin, CIMA®, who also goes by Scott Martin, is a registered financial advisor currently at THORNBURG INVESTMENT MANAGEMENT INC located in Denver, Colorado and THORNBURG SECURITIES LLC located in Barrington, Rhode Island.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 11 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott 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) - RIA

Click below to view Scott Evan 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 19, 2020 - Present

THORNBURG INVESTMENT MANAGEMENT INC

Office #1: 710 S Elizabeth St, Denver, CO 80209

RIA

CRD#: 106357

Denver, CO

Current

March 19, 2020 - Present

THORNBURG SECURITIES LLC

CRD#: 14857

Barrington, RI

Past

April 19, 2017 - March 3, 2020

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

March 15, 2017 - March 3, 2020

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

April 27, 2011 - February 28, 2017

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

DENVER, CO

Past

April 15, 2011 - February 28, 2017

FORESIDE ASSOCIATES, LLC

CRD#: 13494

PORTLAND, ME

Past

July 29, 2008 - March 24, 2011

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

July 29, 2008 - March 24, 2011

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

October 15, 2007 - July 16, 2008

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

CENTENNIAL, CO

Past

April 15, 2004 - October 13, 2004

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

January 1, 2004 - March 22, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

December 12, 2003 - March 22, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alaska
(3/19/2020)

Arizona
(3/19/2020)

California
(3/19/2020)

Colorado
(3/19/2020)

IAR

Colorado
(3/19/2020)

Hawaii
(3/19/2020)

Idaho
(3/19/2020)

Montana
(3/19/2020)

Nevada
(3/19/2020)

New Mexico
(3/19/2020)

IAR

New Mexico
(3/19/2020)

Oregon
(3/19/2020)

Utah
(3/19/2020)

Washington
(3/19/2020)

Wyoming
(3/19/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/18/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

CRD#: 106357 / SEC#: 801-17853

RIA

Registered Investment Advisory firm - (10/15/1982 Approved)

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Contact information

Main Address

2300 North Ridgetop Road, Santa Fe, NM 87506

Mailing Address

Phone number

(505) 467-7283

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE MARCH 31, 2022 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 45,288,445,586

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.

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Advisor Monitoring

Firm Stability Insights

Scott E. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Evan Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

THORNBURG SECURITIES LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

U.S. BANCORP INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THORNBURG INVESTMENT MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2007

Series 66

Date: 12/22/2003

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2007

FINRA

Current Firm

THORNBURG INVESTMENT MANAGEMENT INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THORNBURG INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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