Martin W. Ross
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 William Ross was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1977. Martin had worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 3, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2009 - November 5, 2015
TRUIST INVESTMENT SERVICES, INC.
August 17, 2009 - November 5, 2015
TRUIST INVESTMENT SERVICES, INC.
June 30, 2005 - May 26, 2009
TRUIST INVESTMENT SERVICES, INC.
June 30, 2005 - May 26, 2009
TRUIST INVESTMENT SERVICES, INC.
March 15, 2005 - June 30, 2005
TRUIST SECURITIES, INC.
February 24, 2005 - June 30, 2005
TRUIST SECURITIES, INC.
April 13, 2004 - March 15, 2005
TRUIST INVESTMENT SERVICES, INC.
April 12, 2004 - April 12, 2004
TRUIST INVESTMENT SERVICES, INC.
April 12, 2004 - March 15, 2005
TRUIST INVESTMENT SERVICES, INC.
April 20, 2001 - March 23, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1978 - March 23, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 1/8/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
