Individual Firm
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JOHN WARREN MARTIN JR
JOHN WARREN MARTIN, JOHN MARTIN JR, JOHN MARTIN
CRD#: 823029
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WELLS FARGO ADVISORSCRD#: 19616 428 MCLAWS CIRCLE
STE 100
WILLIAMSBURG, VA 23185
STE 100
WILLIAMSBURG, VA 23185
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11/22/1993
Regulatory
Final
State Registrations
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California 8/16/2024
B
New York 8/12/2023
B
Colorado 11/7/2023
B
North Carolina 7/30/2015
B
Florida 5/22/2018
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Ohio 10/5/2018
B
Maryland 7/22/2010
B
South Carolina 9/10/2015
B
Massachusetts 1/29/2010
B
Tennessee 12/13/2024
B
Missouri 10/27/2015
B
Virginia 1/29/2010
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New Jersey 9/15/2020
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Virginia 1/29/2010
SRO Registrations
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Registered with this firm since 1/29/2010
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Registered with this firm since 1/29/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2002 - 02/04/2010 | WILLIAMSBURG, VA | |
B | 05/26/2000 - 02/04/2010 | WILLIAMSBURG, VA | |
B | 06/05/1993 - 05/26/2000 | RICHMOND, VA | |
B | 08/17/1992 - 04/17/1993 | ||
B | 01/25/1989 - 08/04/1992 | BEDMINSTER, NJ | |
B | 06/04/1987 - 02/01/1989 | ||
B | 03/25/1986 - 05/08/1987 | ||
B | 07/13/1982 - 04/01/1986 | ||
B | 09/26/1978 - 07/26/1982 | ||
B | 02/01/1978 - 09/26/1978 | ||
B | 06/01/1976 - 10/03/1976 |
02/01/1978 - 09/26/1978
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.