David J. Martin
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2022 - February 16, 2024
R. F. LAFFERTY & CO., INC.
October 5, 2022 - November 4, 2024
MYWALLST ADVISORY LLC
March 31, 2022 - July 13, 2022
XTON FINANCIAL LLC
March 31, 2022 - April 15, 2024
XTON FINANCIAL LLC
May 26, 2021 - June 15, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
November 5, 2019 - July 13, 2022
BENCHMARK ADVISORY SERVICES, LLC
November 1, 2019 - July 13, 2022
D. BORAL CAPITAL
August 8, 2017 - November 13, 2019
CAPE INVESTMENT ADVISORY, INC.
July 27, 2017 - November 13, 2019
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
November 4, 2016 - July 24, 2017
WBB SECURITIES, LLC
November 4, 2016 - July 24, 2017
WBB SECURITIES, LLC
January 2, 2009 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
October 17, 2006 - October 31, 2016
COINBASE CAPITAL MARKETS CORP
Primary Firm SEC Registration
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
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 6TO
Date: 1/13/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/13/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/13/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/4/2022
Investment Banking Registered Representative ExaminationCurrent Firm
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 129,823,421 |
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.
