Martin E. Corso
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.
Martin Ernest Corso, who also goes by Marty Corso, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1974. Martin had worked at 9 firms and has passed the Series 65, Series 63, Series 1 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
December 9, 2005 - July 15, 2013
SANDERS MORRIS LLC
May 8, 1997 - December 8, 2005
OSAIC WEALTH, INC.
December 15, 1993 - July 16, 2013
EDELMAN FINANCIAL SERVICES, LLC
September 22, 1993 - May 12, 1997
WORLD INVEST CORPORATION
August 11, 1988 - September 3, 1993
OSAIC FA, INC.
October 2, 1986 - September 3, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 29, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 18, 1984 - September 9, 1988
JOHN HANCOCK DISTRIBUTORS LLC
October 25, 1982 - August 29, 1984
NYLIFE SECURITIES LLC
September 16, 1974 - November 27, 1979
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
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 1
Date: 9/10/1974
Registered Representative ExaminationCurrent Firm
SANDERS MORRIS LLC
CRD#: 20580 / SEC#: 801-66300, 8-38325
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TECTONIC FINANCIAL, INC. | PARENT COMPANY | |
| BALL, GEORGE LESTER | REGISTERED ASSOCIATE | 11332 |
| BLOCK, DAVID WILLIAM | OPERATIONS MANAGER | 2327799 |
| KUEBLER, ERICK GEORGE REVELLE | MANAGER, PRESIDENT | 2319437 |
| LYONS, PAUL DOUGLAS | FINOP, PRINCIPAL FINANCIAL OFFICER | 4900585 |
| MANGOLD, STEPHEN MICHAEL | CHIEF EXECUTIVE OFFICER | 2359974 |
| MANGOLD, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 2359974 |
| SHERMAN, ARTHUR HAAG | MANAGER | 2813406 |
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 991,714,376 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
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.
