Glenn S. Martini
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.
Glenn Stephen Martini was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 2006. Glenn had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2018 - April 27, 2021
CHARLES SCHWAB & CO., INC.
May 30, 2017 - August 6, 2018
CAPITAL ONE INVESTING, LLC
April 19, 2017 - June 5, 2017
SGMA CAPITAL MARKETS LIMITED
June 6, 2013 - May 1, 2015
1ST GLOBAL ADVISORS INC
June 6, 2013 - May 1, 2015
1ST GLOBAL CAPITAL CORP.
November 17, 2011 - May 31, 2013
VFG ADVISORS, INC.
November 9, 2010 - May 31, 2013
VFG SECURITIES, INC.
September 14, 2009 - November 10, 2010
MADISON AVENUE SECURITIES, LLC
September 9, 2009 - November 10, 2010
MADISON AVENUE SECURITIES, LLC
July 30, 2007 - January 2, 2008
HORNOR, TOWNSEND & KENT, LLC
February 9, 2006 - January 2, 2008
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 11/22/2022
General Securities Representative ExaminationSeries 6TO
Date: 11/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
