Individual Firm
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LEE STANLEY MARTIN
LEE MARTIN
CRD#: 1638263
IA
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AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 13555 SE 36TH STREET, SUITE 100
BELLEVUE, WA 98006
BELLEVUE, WA 98006
View By:
2/25/2003
Customer Dispute
Settled
State Registrations
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Louisiana 10/16/2023
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Washington 10/16/2023
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Texas 10/16/2023
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Registered with this firm since 10/16/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/10/2013 - 10/10/2023 | Mercer Island, WA | |
B | 11/30/2010 - 10/05/2023 | MERCER ISLAND, WA | |
IA | 11/30/2010 - 10/29/2015 | MERCER ISLAND, WA | |
IA | 12/10/2010 - 12/23/2013 | OLYMPIA, WA | |
IA | 08/17/2009 - 11/30/2010 | BELLEVUE, WA | |
B | 08/17/2009 - 11/30/2010 | BELLEVUE, WA | |
IA | 07/22/2008 - 09/29/2009 | BELLEVUE, WA | |
B | 07/10/2008 - 09/04/2009 | BELLEVUE, WA | |
IA | 04/11/2007 - 07/24/2008 | BELLEVUE, WA | |
B | 04/11/2007 - 07/24/2008 | BELLEVUE, WA | |
IA | 03/29/2002 - 04/23/2007 | BELLEVUE, WA | |
B | 02/12/2002 - 04/23/2007 | BELLEVUE, WA | |
B | 02/16/2001 - 02/08/2002 | SAN DIEGO, CA | |
B | 05/14/1991 - 04/16/2001 | EL SEGUNDO, CA | |
B | 09/25/1989 - 05/21/1991 | MILWAUKEE, WI | |
B | 09/25/1989 - 11/16/1990 | MILWAUKEE, WI | |
B | 04/10/1989 - 06/21/1989 | EL SEGUNDO, CA | |
B | 10/20/1988 - 04/10/1989 | ||
B | 07/01/1988 - 03/09/1989 | ||
B | 03/24/1987 - 08/30/1988 |
BELLEVUE, WA
08/17/2009 - 11/30/2010
10/20/1988 - 04/10/1989
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.