Ariel H. Martinez
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.
Ariel Humberto Martinez, who also goes by Ari Martin, Ariel Martin, was a registered financial professional .
Ariel is a previously registered financial professional and started their career in finance in 2007. Ariel had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2012 - August 20, 2013
DAVID LERNER ASSOCIATES, INC.
May 25, 2011 - September 9, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2009 - May 20, 2010
CHASE INVESTMENT SERVICES CORP.
April 27, 2009 - January 15, 2010
NEW ENGLAND SECURITIES
May 13, 2008 - June 23, 2008
THINKEQUITY LLC
March 5, 2007 - April 15, 2008
WESTROCK ADVISORS, INC.
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 62
Date: 3/2/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
