James Martin, financial advisor Glastonbury CT
83 score

James Martin

CRD Number: 3121117
Current Firm: Msi Financial Services, Inc.

James Martin (CRD# 3121117) is an Investment Advisor Representative working at Msi Financial Services, Inc. in Glastonbury, CT and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Metlife Insurance Co Shelton, CT Oct 2005 - Current 11
Metlife Securities Inc. Shelton, CT Oct 2005 - Current 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1999
S65 NASAA Investment Advisors Law Examination Sep 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James S. Martin
Phone Number: 800-638-8378
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    13,804
    MILLIONS
  • Total Number of Accounts
    105,831
    ACCOUNTS
  • Average Account Value
    $130,432
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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