Richard MartinCRD Number: 5310074
Current Firm: Nbc Securities, Inc.
Richard Martin (CRD# 5310074) is an Investment Advisor Representative working at Nbc Securities, Inc. in Tampa, FL and has over 5 years of experience in the finance industry. Richard 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.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Nbc Securities Inc.||Tampa, FL||Oct 2015 - Current||2|
|Wilbanks Securities, Inc.||Oklahoma City, OK||Jan 2013 - Oct 2015||2|
|Wilbanks Securities Advisory||Oklahoma City, OK||Jan 2013 - Oct 2015||2|
|Jhs Capital Advisors,inc||Tampa, FL||Mar 2012 - Jan 2013||< 1|
|State Farm Vp Management Corp.||Palm Harbor, FL||Mar 2007 - Mar 2012||5|
|State Farm Vp Management Corp.||Clearwater, FL||Mar 2007 - Mar 2011||4|
|Craig Duncan Insurance Agency||Clearwater, FL||Aug 2006 - Mar 2011||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2012|
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:
- Regulatory Event
Total Assets Under Management1,448MILLIONS
Total Number of Accounts4,456ACCOUNTS
Average Account Value$324,955
- 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)
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, VT, WA, WI, WV