James W. Martling
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 Watson Martling was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 7 firms and has passed the Series 63, Series 50 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1995 - April 26, 2018
SPERRY CAPITAL INC.
February 15, 1994 - December 13, 1995
KIRSCHNER SECURITIES, INC.
March 9, 1993 - March 16, 1994
MUNICIPAL GOVERNMENT INVESTMENT ASSOCIATES, INC.
October 18, 1989 - February 16, 1993
KIDDER, PEABODY & CO. INCORPORATED
December 2, 1986 - May 16, 1989
RAUSCHER PIERCE REFSNES, INC.
November 5, 1981 - December 31, 1984
CREDIT SUISSE SECURITIES (USA) LLC
March 26, 1979 - December 21, 1987
E. F. HUTTON & COMPANY 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
Current Firm
SPERRY CAPITAL INC.
CRD#: 136584 / SEC#:
Contact information
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.
