KM
Keith C. Martel
GOLDEN STATE WEALTH MANAGEMENT
Calabasas, CA 91302
Some features on this profile are disabled
CRD#: 4798715
KM
Professional summary
Keith Christopher Martel, who also goes by Kc Martel, is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in Calabasas, California and LPL FINANCIAL LLC located in Woodland Hills, California.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Keith has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kc Martel
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.
1. 11/2/2015 - Golden State Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/2015 - 40 Hours Per Month - Time Spent 100%.
2. 11/2/2015 - Companion Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/1/2015 - 50 Hours Per Month - Time Spent 100%.
3. 11/3/2015 - Golden State Wealth Management, LLC - DBA: Companion Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 10/30/2015 - 50 Hours Per Month/12 Hours During Securities Trading - Time Spent 100%.
4. 11/3/2015 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/2015.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Christopher Martel's 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®
NoneExperience
Current
November 3, 2015 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
Office #1: 4766 Park Granada Suite 204, Calabasas, CA 91302RIA
CRD#: 167995
Calabasas, CA
Current
November 2, 2015 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
October 1, 2012 - November 12, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CALABASAS, CA
Past
October 1, 2012 - November 12, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CALABASAS, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CALABASAS, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CALABASAS, CA
Past
September 13, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
BURBANK, CA
Past
September 13, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
BURBANK, CA
Past
November 21, 2005 - February 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WESTLAKE VILLAGE, CA
Past
November 21, 2005 - February 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WESTLAKE VILLAGE, CA
Past
August 17, 2004 - September 28, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WOODLAND HLS, CA
Past
July 5, 2004 - September 28, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)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.RR
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
RR
Arizona(11/2/2015)
RR
California(11/2/2015)
IAR
California(11/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
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.
