Roger MartinCRD Number: 4588075
Current Firm: Centaurus Financial, Inc.
Roger Martin (CRD# 4588075) is an Investment Advisor Representative working at Centaurus Financial, Inc. in Highlands Ranch, CO and has over 14 years of experience in the finance industry.
Ewealth Consulting, LLC
Anthony Capital, LLC
|Centaurus Financial, Inc.||Orange, CA||Apr 2008 - Current||9|
|Charter Financial Resources||Greenwood Village, CO||Oct 2004 - Current||12|
|Martin Financial Planning||Larkspur, CO||Sep 1999 - Current||17|
|Legacy Marketing Group||Petaluna, CA||Sep 1999 - Current||17|
|Brecek & Young Advisors, Inc.||Folsom, CA||Jun 2007 - Apr 2008||< 1|
|Legacy Advisory Services Inc.||Petaluma, CA||Jul 2003 - Jun 2007||3|
|Legacy Financial Services Inc.||Petaluma, CA||Sep 2002 - Jun 2007||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2005|
|S65||NASAA Investment Advisors Law Examination||Jul 2003|
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
Total Assets Under Management1,044MILLIONS
Total Number of Accounts5,454ACCOUNTS
Average Account Value$191,349
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Market timing services
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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