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Detailed Report
Cindy Martinez
CRD#: 5611977
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
2010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2022 (3 years)BALLY INVEST SECURITIES LLC (CRD# 136131)2012 - 2017 (5 years)BZECCO TRADING, INC. (CRD# 135398)2009 - 2012 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Alaska 8/10/2022
B
Missouri 3/26/2024
B
Arizona 8/22/2022
B
Montana 8/4/2022
B
Arkansas 8/17/2022
B
Nebraska 8/4/2022
IA
California 8/4/2022
B
Nevada 8/12/2022
B
California 8/5/2022
B
New Jersey 8/4/2022
B
Colorado 8/9/2022
B
New Mexico 8/8/2022
B
Connecticut 8/4/2022
B
New York 8/6/2022
B
Delaware 10/27/2022
B
North Carolina 8/5/2022
B
District of Columbia 8/25/2022
B
Ohio 8/4/2022
B
Florida 8/5/2022
B
Oklahoma 8/8/2022
B
Georgia 8/8/2022
B
Oregon 8/22/2022
B
Hawaii 8/24/2022
B
Pennsylvania 8/5/2022
B
Idaho 8/4/2022
B
Rhode Island 7/9/2024
B
Illinois 8/18/2022
B
South Carolina 8/9/2022
B
Indiana 8/5/2022
B
South Dakota 9/7/2022
B
Kansas 8/5/2022
B
Tennessee 8/5/2022
B
Kentucky 8/22/2022
B
Texas 8/5/2022
B
Maine 8/4/2022
IA
Texas 8/5/2022
B
Maryland 8/9/2022
B
Utah 8/8/2022
B
Massachusetts 9/22/2022
B
Virginia 8/6/2022
B
Michigan 8/25/2022
B
Washington 8/5/2022
B
Minnesota 8/9/2022
B
Wisconsin 8/9/2022
B
Mississippi 8/15/2022
B
Wyoming 8/15/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 8/4/2022
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
Registered with this firm since 8/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/15/2022 - 07/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 04/08/2019 - 07/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 09/24/2012 - 11/20/2017 ALLY INVEST SECURITIES LLC (CRD#:136131) FORT LAUDERDALE, FL
B
 11/20/2009 - 12/20/2012 ZECCO TRADING, INC. (CRD#:135398) GLENDALE, CA
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.