James J. Martin
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.
James Joseph Martin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - August 29, 2024
SANTORI & PETERS
April 1, 1991 - December 11, 1992
TOWER SQUARE SECURITIES, INC.
June 25, 1986 - May 11, 1990
TOWER SQUARE SECURITIES, INC.
April 20, 1981 - September 4, 1984
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
SANTORI & PETERS
CRD#: 105978 / SEC#: 801-110482
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
Current Firm
SANTORI & PETERS
CRD#: 105978 / SEC#: 801-110482
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 696 |
| AUM (Assets Under Management) | $ 389,662,592 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/08/2025 | ||
| 11/18/2024 | ||
| 11/03/2023 | ||
| 01/11/2023 |
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.
