Martin L. Desmond
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 Leo Desmond, who also goes by Marty Desmond, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1974. Martin had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 1, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2004 - June 27, 2019
CANTELLA & CO., INC.
January 2, 1996 - June 27, 2019
CANTELLA & CO., INC.
June 3, 1994 - December 16, 1995
TRAFALGAR FINANCIAL SERVICES, INC.
November 19, 1991 - May 9, 1994
CANTELLA & CO., INC.
May 12, 1977 - September 30, 1991
CAPITOL SECURITIES & ASSOCIATES, INC.
January 6, 1977 - November 4, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
December 11, 1974 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
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 55
Date: 9/9/2002
Limited Representative-Equity Trader ExamSeries 1
Date: 12/7/1974
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
