Martin J. Sobolewski
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.
Martin J Sobolewski, who also goes by Martin J. Sobolewski, Martin John Sobolewski, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2010. Martin had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
October 5, 2020 - March 15, 2021
BORDEAUX WEALTH ADVISORS
December 6, 2018 - October 10, 2019
CNR SECURITIES, LLC
December 5, 2018 - October 10, 2019
CITY NATIONAL ROCHDALE
February 21, 2018 - May 15, 2018
J.P. MORGAN SECURITIES LLC
January 19, 2018 - May 15, 2018
J.P. MORGAN SECURITIES LLC
July 7, 2010 - September 28, 2016
DFA SECURITIES 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
Current Firm
BORDEAUX WEALTH ADVISORS
CRD#: 287758 / SEC#: 801-110221
Contact information
Regulatory assets under management
| Total Number of Accounts | 340 |
| AUM (Assets Under Management) | $ 5,644,003,340 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 08/24/2023 | ||
| 10/17/2022 |
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.
