DM
David J. Martin
Some features on this profile are disabled
CRD#: 5202659
DM
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.
David Jaindl Martin was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2006. David had worked at 10 firms and has passed the Series 66, Series 6TO, Series 22TO, Series 82TO, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 39, Series 26, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
-MONAHAN & ROTH, LLC -NOT INVESTMENT-RELATED -630 First Ave., SAN DIEGO, CA 92101 -EXPERT WITNESS AND CONSULTING SERVICES -Managing Member -START DATE: 7/1/2006 -0-1 hrs a week -0hrs during trading hrs -Compliance Consulting and Expert Witness support services. MR Holdings, LLC -Not Investment Related -New York, NY 10021 -Holding Company / Compliance Consulting -Managing Member -Start Date 11/2016 -5-10 Hours Per Month -0 hrs a month during trading hours -Holding company for personal assets, compliance consulting Compliers -New York, NY 10021 -Compliance Consulting and Technology -Founder -8/21/2020 Start Date -20hrs/mo -10hr/mo during trading hours -Compliance and Technology consulting services MyWallSt Advisory LLC -Yes Investment Related -NY, NY 10004 -SEC Investment Advisor -Director -7/15/2021 Start Date -4hrs/mo -1hrs/mo during trading hours -Fixed-rate consulting fee plus equity Mtria LLC -Yes Investment Related -NY, NY 10004 -Holding company for broker-dealers and RIAs -Managing Member -8/20/2020 Start Date -5hrs/mo -1hrs/mo during trading hours -Holding Company XtonFinancial, LLC -Yes Investment Related - Encinitas, CA 92024 -Broker-Dealer / Ins. Co. -Registered Principal -3/31/2022 Start Date -5hrs/mo -1hrs/mo during trading hours -Compliance Martin Kazatsky Motors, LLC -Not Investment Related -Montana -Race Car Holdings and Operations -Managing Member -3/31/2022 Start Date -10hrs/mo -0hrs/mo during trading hours -Race Car ownership and operation
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 16, 2022 - February 16, 2024
R. F. LAFFERTY & CO., INC.
BD
CRD#: 2498
NEW YORK, NY
Past
October 5, 2022 - November 4, 2024
MYWALLST ADVISORY LLC
RIA
CRD#: 311970
NEW YORK, NY
Past
March 31, 2022 - July 13, 2022
XTON FINANCIAL LLC
RIA
CRD#: 132847
New York, NY
Past
March 31, 2022 - April 15, 2024
XTON FINANCIAL LLC
BD
CRD#: 132847
New York, NY
Past
May 26, 2021 - June 15, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
New York, NY
Past
November 5, 2019 - July 13, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
NEW YORK, NY
Past
November 1, 2019 - July 13, 2022
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
August 8, 2017 - November 13, 2019
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
MCDONOUGH, GA
Past
July 27, 2017 - November 13, 2019
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
BD
CRD#: 7388
MCDONOUGH, GA
Past
November 4, 2016 - July 24, 2017
WBB SECURITIES, LLC
RIA
CRD#: 118440
SAN DIEGO, CA
Past
November 4, 2016 - July 24, 2017
WBB SECURITIES, LLC
BD
CRD#: 118440
SAN DIEGO, CA
Past
January 2, 2009 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
RIA
CRD#: 10722
SAN DIEGO, CA
Past
October 17, 2006 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
BD
CRD#: 10722
SAN DIEGO, CA
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".
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/13/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/13/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/13/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/4/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
40 Wall Street 36th Floor Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
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.
