Richard A. 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.
Richard Aaron Martin, who also goes by Dick Martin, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 11 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2007 - December 31, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2007 - December 3, 2007
INVEST FINANCIAL CORPORATION
August 17, 2005 - April 30, 2007
PFIC SECURITIES CORPORATION
September 17, 1997 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
April 7, 1997 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
January 1, 1994 - April 10, 1997
LEGEND EQUITIES CORPORATION
December 16, 1991 - January 1, 1994
LEGEND CAPITAL CORPORATION
December 8, 1983 - December 13, 1991
CITISTREET EQUITIES LLC
September 26, 1977 - January 27, 1984
NEW ENGLAND SECURITIES
December 1, 1975 - April 5, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 1, 1975 - April 5, 1977
OSAIC FA, 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
Series 1
Date: 11/22/1975
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
