Martin Prosperi
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 Prosperi, who also goes by Martin Prosperi Espino, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2012. Martin had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2019 - November 20, 2023
FACE CAPITAL ADVISORS
March 28, 2017 - May 22, 2019
CITI PRIVATE ALTERNATIVES, LLC
June 29, 2015 - May 22, 2019
CITIGROUP GLOBAL MARKETS INC.
June 25, 2015 - May 22, 2019
CITIGROUP GLOBAL MARKETS INC.
June 6, 2012 - June 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2012 - June 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FACE CAPITAL ADVISORS
CRD#: 297316 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 6,829,754 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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