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Detailed Report
VICTOR MARTINEZ
CRD#: 5744392
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Investment Adviser
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Previous Broker
STRATEGY ASSET MANAGERS L.L.C.CRD#: 109939 790 E. COLORADO BLVD
SUITE 200
PASADENA, CA 91101
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2016 (6 years)2 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - 2024 (4 years)IASTRATEGY ASSET MANAGERS L.L.C. (CRD# 109939)2024 - Present (1 year)
Disclosure(s)
View By:
12/19/2019
Customer Dispute
Settled
License(s)

State Registrations

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California 1/11/2024
Current Registration(s)
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STRATEGY ASSET MANAGERS L.L.C. (CRD#:109939)
790 E. COLORADO BLVD SUITE 200, PASADENA, CA 91101
Registered with this firm since 1/11/2024
Previous Registration(s)
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 11/01/2019 - 01/02/2024 MORGAN STANLEY (CRD#:149777) El Segundo, CA
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 11/01/2019 - 01/02/2024 MORGAN STANLEY (CRD#:149777) El Segundo, CA
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 04/01/2016 - 11/07/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
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 04/01/2016 - 11/07/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
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 04/13/2010 - 04/20/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
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 02/08/2010 - 04/20/2016 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.