Martha S. Vokes
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.
Martha Sue Vokes, who also goes by Martha Sue Joe, was a registered financial professional .
Martha is a previously registered financial professional and started their career in finance in 2015. Martha had worked at 1 firm and has passed the SIE, Series 56 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 3, 2015 - September 29, 2017
RGM SECURITIES, LLC
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 56
Date: 12/3/2015
Proprietary Trader Qualification ExaminationCurrent Firm
RGM SECURITIES, LLC
CRD#: 148086 / SEC#: , 8-67964
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RGM ADVISORS, LLC | SOLE MEMBER | |
| BIARD, ROBERT GILLIS | HEAD OF TRADING, BLINK TEAM | 4514131 |
| BOYD, RONALD SCOTT | BOARD OF MANAGERS, CHIEF EXECUTIVE OFFICER | 2846392 |
| FOWLER, SCOTT ALAN | BOARD OF MANAGERS, CHIEF FINANCIAL OFFICER AND TREASURER | 3004363 |
| MAYER, BARI SHIVA | HEAD OF TRADING, CLARITY TEAM | 6470069 |
| SCHWAB, MELISSA DAWN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER AND SECRETARY | 5643021 |
| WILLIAMS, DAVID RENE | DIRECTOR OF TRADING OPERATIONS | 5776462 |
Red Flags
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