• 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.
WILLIAM CHARLES MARTIN
william c martin
CRD#: 730943
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 888 Reservoir Ave
Cranston, RI 02910
Registration History
1985199019952000200520102015202020252 FIRMS1990 - 1996 (6 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2019 (7 years)2 FIRMS2019 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1996 - 2009 (12 years)BLEHMAN BROTHERS INC. (CRD# 7506)1981 - 1990 (9 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2009 (8 years)
Disclosure(s)
View By:
8/5/2011
Employment Separation After Allegations
11/5/2003
Customer Dispute
Settled
10/2/1995
Customer Dispute
Settled
3/12/1993
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Massachusetts 4/29/2019

IA
Rhode Island 4/1/2019

B
Rhode Island 4/1/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
888 Reservoir Ave, Cranston, RI 02910
Lincoln, RI
Registered with this firm since 4/1/2019

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
888 Reservoir Ave, Cranston, RI 02910
Lincoln, RI
Registered with this firm since 4/1/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/05/2011 - 04/18/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) PROVIDENCE, RI
B
08/05/2011 - 04/18/2019 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) PROVIDENCE, RI
IA
06/01/2009 - 09/01/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PROVIDENCE, RI
B
06/01/2009 - 09/01/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PROVIDENCE, RI
IA
09/14/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PROVIDENCE, RI
B
09/16/1996 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PROVIDENCE, RI
B
09/05/1990 - 09/09/1996 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471)
B
08/28/1990 - 09/09/1996 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
05/18/1981 - 09/28/1990 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.