Gary D. Martell
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.
Gary David Martell was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1986. Gary had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 1995 - June 30, 2016
CAPITAL MANAGEMENT SECURITIES, INC.
February 17, 1994 - May 15, 1995
DOUGHERTY DAWKINS LLC
November 3, 1989 - June 3, 1993
U.S. BANCORP INVESTMENTS, INC.
May 21, 1986 - November 3, 1989
FBS BROKERAGE SERVICES, INC.
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
F04
Date: 8/7/1975
Financial Principal ExaminationSeries 00
Date: 7/24/1975
General Securities Principal ExaminationCurrent Firm
CAPITAL MANAGEMENT SECURITIES, INC.
CRD#: 10579 / SEC#: , 8-27779
Contact information
FINRA licenses (18 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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