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MA

Martin Gottfried Alston

CRD# 5277910·Registered 2016 - 2020
Previously Registered: Being a previously registered professional could mean that Martin 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.

Professional Summary

Martin Gottfried Alston was a registered financial advisor. Martin was a previously registered financial professional and started their career in finance 2016 - 2020. Martin had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

10 years in the financial services industry

Current & Past Employments

THREADMARK LP·CRD# 173318
BD
New York, NY
May 1, 2018 - July 31, 2020
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC·CRD# 170062
BD
Chicago, IL
August 12, 2016 - January 3, 2018

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Current Firm

TL
THREADMARK LP

THREADMARK LP

CRD#: 173318 / SEC#: 8-69535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

300 Park Avenue 2nd Floor, New York, NY 10022

Mailing Address

300 Park Avenue 2nd Floor, New York, NY 10022

Phone Number

(917) 397-2301

Established

Delaware since 04/22/2014

Firm Type

Other Types of Legal Formation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (8 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
THREADMARK GP, LLCGENERAL PARTNER—
AHUJA, AJAYCFO/COO/POO2720807
CHAPMAN, BRUCE HUNTLEACCO5062739
GALES, WILHELMINA ANNA MCEO2951268
ROCHE, PASCALFINOP/PFO5920968

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2016About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Apr 2024About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2016About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 2024About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MA
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