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SM

Samuel J. Martinez

PHARUS SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 7014989
SM

Professional summary

Samuel Joseph Martinez, who also goes by Samuel J Martinez, is a registered financial professional currently at PHARUS SECURITIES, LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2019. Samuel has worked at 5 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samuel J 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) - BD

Click below to view Samuel Joseph Martinez's CRS (Customer Relationship Summary).

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

Current

October 5, 2023 - Present

PHARUS SECURITIES, LLC

Office #1: 535 Fifth Avenue 25th Floor, New York, NY 10017
BD
CRD#: 148002
New York, NY
Past

September 1, 2021 - October 4, 2021

D.A. DAVIDSON & CO.

BD
CRD#: 199
NEW YORK, NY
Past

November 17, 2020 - September 1, 2021

MARLIN & ASSOCIATES SECURITIES LLC

BD
CRD#: 152650
NEW YORK, NY
Past

September 9, 2019 - November 9, 2020

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Milwaukee, WI
Past

August 8, 2019 - September 19, 2019

CLEARY GULL INC.

BD
CRD#: 45309
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/5/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/5/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PHARUS SECURITIES, LLC
PHARUS SECURITIES, LLC

CRD#: 148002 / SEC#: , 8-67948

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

Main Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Mailing Address
535 Fifth Avenue 25th Floor, New York, NY 10017
Phone number
(212) 904-0100
Established
Delaware since 11/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PHARUS ADVISORS HOLDINGS, LLCMANAGING MEMBER
GOODMAN, MICHAEL EDWARDMANAGING DIRECTOR5582359
HARRELL, KENNETH MACYMANAGING PARTNER / CCO5576859
KIRSCHENBLATT, CHAD ETHANFINOP2503352

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

PHARUS SECURITIES, LLC

CRD#: 148002New York, NY 10017

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