Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN EUGENE MARTY
CRD#: 2822873
IA
Investment Adviser
B
Broker
RB CAPITAL MANAGEMENT, LLCCRD#: 125678 345 Lorton Avenue, Suite 302
Burlingame, CA 94011-4212
APW CAPITAL, INC.CRD#: 43814 345 Lorton Avenue, Suite 302
Burlingame, CA 94010
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 1997 (<1 year)2 FIRMS2003 - 2004 (1 year)2 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - 2017 (<1 year)IARB CAPITAL MANAGEMENT, LLC (CRD# 125678)2016 - Present (9 years)BAPW CAPITAL, INC. (CRD# 43814)2017 - Present (8 years)BSLOAN SECURITIES CORP. (CRD# 17930)2004 - 2012 (7 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1997 - 2003 (6 years)IARB CAPITAL MANAGEMENT, LLC (CRD# 125678)2005 - 2015 (9 years)IAU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1998 - 2003 (5 years)
Disclosure(s)
View By:
12/14/2020
Judgment / Lien
8/8/2016
Customer Dispute
Closed-No Action
3/14/2000
Customer Dispute
Denied
License(s)

State Registrations

IA
California 4/1/2016
B
Michigan 3/10/2017
B
California 3/10/2017
B
Montana 3/27/2017
B
Florida 3/10/2017
B
Nevada 5/1/2017
B
Idaho 3/10/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RB CAPITAL MANAGEMENT, LLC (CRD#:125678)
345 Lorton Avenue, Suite 302, Burlingame, CA 94011-4212
Registered with this firm since 4/1/2016
B
APW CAPITAL, INC. (CRD#:43814)
345 Lorton Avenue, Suite 302, Burlingame, CA 94010
Registered with this firm since 3/10/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/15/2016 - 03/23/2017 FSC SECURITIES CORPORATION (CRD#:7461) BURLINGAME,, CA
B
 04/15/2016 - 03/23/2017 FSC SECURITIES CORPORATION (CRD#:7461) BURLINGAME,, CA
IA
 05/09/2012 - 04/18/2016 CETERA ADVISORS LLC (CRD#:10299) BURLINGAME, CA
B
 05/09/2012 - 04/18/2016 CETERA ADVISORS LLC (CRD#:10299) BURLINGAME, CA
IA
 06/14/2005 - 03/25/2015 RB CAPITAL MANAGEMENT, LLC (CRD#:125678) BURLINGAME, CA
B
 10/11/2004 - 05/10/2012 SLOAN SECURITIES CORP. (CRD#:17930) BIRLINGAME, CA
IA
 09/13/2003 - 10/11/2004 GUNNALLEN FINANCIAL, INC (CRD#:17609) BRISBANE, CA
B
 09/13/2003 - 10/11/2004 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
IA
 06/29/1998 - 09/24/2003 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) SAN FRANCISCO, CA
B
 05/08/1997 - 09/24/2003 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
B
 12/02/1996 - 05/14/1997 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 12/02/1996 - 05/14/1997 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.