Individual Firm
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CLOVIS TIMOTHY MARTIN
CRD#: 2186436
IA
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MORGAN STANLEYCRD#: 149777 6565 Americas Parkway
Suite 400
Albuquerque, NM 87110
Suite 400
Albuquerque, NM 87110
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9/4/2013
Customer Dispute
Denied
7/2/2009
Customer Dispute
Denied
9/26/2007
Customer Dispute
Denied
7/10/2007
Customer Dispute
Denied
3/2/2007
Customer Dispute
Settled
State Registrations
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Alabama 2/13/2020
B
Michigan 1/4/2016
B
Alaska 4/8/2022
B
Nevada 11/21/2019
B
Arizona 1/3/2012
B
New Jersey 1/3/2012
B
California 1/3/2012
B
New Mexico 1/3/2012
B
Colorado 11/30/2015
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New Mexico 1/5/2012
B
Connecticut 4/17/2020
B
New York 5/12/2015
B
District of Columbia 2/8/2023
B
North Carolina 2/6/2025
B
Florida 1/3/2012
B
Oregon 10/18/2019
B
Georgia 3/6/2025
B
South Dakota 1/3/2012
B
Illinois 1/14/2021
B
Tennessee 1/3/2012
B
Kansas 6/14/2024
B
Texas 1/3/2012
B
Louisiana 1/28/2025
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Texas 1/5/2012
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Maine 2/1/2024
B
Washington 11/3/2016
B
Maryland 5/3/2018
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Wisconsin 5/7/2014
SRO Registrations
B
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B
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Registered with this firm since 1/5/2012
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Registered with this firm since 1/3/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 01/06/2012 | ALBUQUERQUE, NM | |
B | 01/03/2011 - 01/06/2012 | ALBUQUERQUE, NM | |
IA | 06/23/2003 - 01/03/2011 | ALBUQUERQUE, NM | |
B | 11/19/2001 - 01/03/2011 | ALBUQUERQUE, NM | |
B | 07/01/1999 - 11/19/2001 | SAN FRANCISCO, CA | |
B | 01/03/1996 - 07/01/1999 | SALT LAKE CITY, UT | |
B | 04/10/1995 - 01/15/1996 | FRANKLIN, TN | |
B | 11/22/1991 - 09/01/1994 | NEWARK, NJ | |
B | 11/22/1991 - 12/10/1993 | NEWARK, NJ |
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B
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.