Joshua M. Martin

PEP ADVISORY LLC

Houston, TX 77007

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CRD#: 4975211

Professional summary

Joshua Michael Martin is a registered financial professional currently at PEP ADVISORY LLC located in Houston, Texas.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Joshua Michael Martin'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®

None

Experience

Current

February 11, 2014 - Present

PEP ADVISORY LLC

Office #1: 100 Waugh Drive Suite 600, Houston, TX 77007Office #2: 100 Waugh Drive Suite 600, Houston, TX 77007

CRD#: 166636

Houston, TX

Past

June 27, 2005 - February 20, 2014

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

CRD#: 129772

HOUSTON, TX

State Registrations and Notice Filings

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

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

California
(2/11/2014)

Colorado
(2/11/2014)

Connecticut
(2/11/2014)

Delaware
(2/11/2014)

Florida
(4/3/2025)

Illinois
(2/11/2014)

Kansas
(2/11/2014)

Louisiana
(2/11/2014)

Massachusetts
(2/11/2014)

Minnesota
(2/11/2014)

Nevada
(1/22/2025)

New Jersey
(2/11/2014)

New York
(2/11/2014)

Ohio
(1/24/2025)

Pennsylvania
(2/11/2014)

Texas
(2/11/2014)

Wisconsin
(2/11/2014)

Exams

State Security Law Exam

Series 63

Date: 9/30/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/19/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 55

Date: 10/26/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/25/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PEP ADVISORY LLC

CDH SECURITIES, LLC | PEP ADVISORY LLC | HEIKKINEN ENERGY SECURITIES, LLC

CRD#: 166636 / SEC#: , 8-69224

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

100 Waugh Drive Suite 600, Houston, TX 77007

Mailing Address

100 Waugh Drive Suite 600, Houston, TX 77007

Phone number

(713) 930-0371

Established

Texas since 12/07/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVICTA XV + LP	LIMITED PARTNER/MEMBER
GUHA, JISHNU	CHIEF COMPLIANCE OFFICER	4908714
MOODY, WALKER NELSON	CEO	5007440
PICKERING, DANIEL RAY	MANAGING DIRECTOR	2832592
SCHAPS, MICHAEL ROBERT	FINOP/CFO/PFO/POO	1892138

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

Joshua M. Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Michael Martin's CRS (Customer Relationship Summary).

Certified licenses

Experience

TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/2005

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 6/19/2016

Series 55

Date: 10/26/2006

Series 7

Date: 6/25/2005

Series 24

Date: 9/8/2022

FINRA

Current Firm

PEP ADVISORY LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PEP ADVISORY LLC

TRUST BUT VERIFY

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