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Adrian E. Martinez

Some features on this profile are disabled
CRD#: 6964564
AM

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.

Adrian Espitia Martinez, who also goes by Adrian E Martinez, was a registered financial professional .

Adrian is a previously registered financial professional and started their career in finance in 2018. Adrian had worked at 2 firms and has passed the Series 65, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adrian E Martinez

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 28, 2024 - August 12, 2024

CHARLES TOWNE SECURITIES, LLC

BD
CRD#: 172278
CHARLESTON, SC
Past

February 17, 2020 - July 18, 2022

CHARLES TOWNE SECURITIES, LLC

BD
CRD#: 172278
CHARLESTON, SC
Past

September 21, 2018 - November 27, 2018

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
Depew, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/19/2018
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 2/16/2020
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/23/2019
Securities Industry Essentials Examination

Current Firm

CT
CHARLES TOWNE SECURITIES, LLC
ALCHEMY SECURITIES, LLC | CHARLES TOWNE SECURITIES, LLC

CRD#: 172278 / SEC#: , 8-69505

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
123 Island Park Drive, Charleston, SC 29492
Mailing Address
123 Island Park Drive, Charleston, SC 29492
Phone number
(704) 516-1836
Established
Delaware since 06/06/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CTH-ADVISORSSHAREHOLDER
EBERT, PAUL FRANCISFINANCIAL AND OPERATIONS PRINCIPAL/CFO1121231
SANDERSON, MICHAEL OTTOCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER410294

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.

Company Information

CHARLES TOWNE SECURITIES, LLC

CRD#: 172278

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