Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Martin? Claim Your ProfileMartin Warner is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., working in the WALNUT CREEK, CA branch. Martin began their career in the financial services industry in December of 1999. Martin currently holds Series 66, Series 7, and SIE registrations. Martin has specialized in a variety of financial products including mutual funds, variable annuities, life insurance, stocks, and fixed annuities.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
11/01/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CA
11/14/2003 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ORINDA CA)
CA
05/02/2001 - 12/02/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
12/14/1999 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BOTH
Issued 09/14/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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