Thomas Martin, financial advisor Santa Fe NM
61 score

Thomas Martin

CRD Number: 4500330
Current Firm: Ek Riley Investments, LLC

Thomas Martin (CRD# 4500330) is an Investment Advisor Representative working at Ek Riley Investments, LLC in Santa Fe, NM and has over 16 years of experience in the finance industry. Thomas Martin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
E.k. Riley Investments, LLC Seattle, WA Aug 2017 - Current < 1
Edward Jones St Louis, MO Jan 2002 - Aug 2017 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2002
S66 NASAA Uniform Combined State Law Examination Dec 2006
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:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas S. Martin
Phone Number: 206-832-1520
Firm Website: http://www.ekriley.com
Registered State(s):
  • CO
  • UT
  • NM
By the Numbers
  • Total Assets Under Management
    553
    MILLIONS
  • Total Number of Accounts
    1,555
    ACCOUNTS
  • Average Account Value
    $355,343
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

NM

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BADGES
61

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