Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Frederick Martin is an investment advisor representative with Hilltop Securities Inc. in Plano, TX. James has been in the financial industry since January 17, 1993. He is a registered representative in 17 states. James holds a Series 7, Series 31, and Series 63 license and is a registered investment advisor in Arizona, California, Colorado, Florida, Illinois, Indiana, Maryland, Michigan, Mississippi, New Jersey, New York, Ohio, Oregon, South Carolina, Texas, Virginia, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
08/19/2021 - Present
Hilltop Securities Inc. (Plano TX)
TX
11/26/2008 - 09/20/2016
UBS FINANCIAL SERVICES INC. (PLANO TX)
TX
10/05/1994 - 12/15/2008
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
NY
01/18/1993 - 10/07/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/15/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 01/06/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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