RM
RM
Richard Martin is a registered investment advisor, based in Omaha, NE, with 33 years of industry experience.
Location
12020 Shamrock Plaza, Suite 105, Omaha, NE, 68154
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009Closed-No Action
Regulatory
January 2008Final
Regulatory
January 2007Final
Employment Separation After Allegations
September 2006Other Business ActivitiesSells Insurance
Richard is a coach at International Productivity Systems, spending about 10-20% of his time there. He is also an independent insurance agent for various independent insurance agencies, dedicating about 10-20% of his time, and an advisory representative of a RIA, spending nearly full-time hours.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
December 2014 - Present · 11 yrs 5 mos
Cambridge Investment Research Advisors, INC.
November 2014 - Present · 11 yrs 6 mos
Previous Registrations
Calton & Associates, INC.
December 2007 - November 2014 · 6 yrs 11 mos
Calton & Associates, INC.Broker
November 2006 - November 2014 · 8 yrs
Brokers International Financial Services, LLC.Broker
September 2006 - December 2006 · 3 mos
Ing Financial Partners, INC.Broker
November 2004 - September 2006 · 1 yr 10 mos
Mutual of Omaha Investor Services, INC.Broker
October 1992 - November 2004 · 12 yrs 1 mo
State Registrations7 states
ARIAMNNEORTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.