Since 2018, Roberto Martinez has been working in Prospera Financial 104, 104. This person is a well-qualified Director of Compliance with over 29 years of work experience. According to Roberto's resume and work profile, the professional has worked at more than 11 places with numerous backgrounds and gained different skills. Roberto attended school at the Tufts University. This expert has professional certification in Cams. Roberto Martinez can be found in Dallas, Texas – where this expert is currently located. You can search for this person's contacts. We can also provide you detailed contact information upon request.
Name variants:
Roberto Martinez
Last updated Jun 16, 2024
Contact Information
Workplace
Colleagues
Work History
Compliance
FINRA Series 6, 7, 24, 53, 63 and 65
Responsible for:
Surveillance of firm's activities
Updating firm's Written Supervisory Procedures
Heightened Supervision
Business Continuity Plan
...
Sep 2017 — Apr 2018
Advisor
Serving as an Advisor for our family-owned real estate business Responsible for reviewing and reporting on expansion initiatives
from Mar 2017
Business Operations Manager, Registered Principal
2005 Market St, Philadelphia, PA 19103
FINRA Series 6, 7, 24, 53, 63, 65
Operations:
Managed service levels, resolved operational issues
Resolved commission and benefit problems
Implemented local and national efforts to impr...
Apr 2011 — Feb 2017
Assistant Vice President
4707 Executive Dr, San Diego, CA 92121
FINRA Registrations - Series 6, 7, 24, 53, 63 and 65. Responsibilities included: managing a team of designated principals, performing daily and periodic supervision of trading activity and ...
Feb 2006 — Jan 2011
AVP Compliance Supervision/Manager/Compliance Analyst
San Diego, CA
Feb 2006 — Jan 2011
Licensed Banker
420 Montgomery St, San Francisco, CA 94129
Provided broad base of financial and credit services to customers.
Recognized as one of the top consumer credit producers in South San Diego.
Branch Compliance Expert
Oct 2003 — Feb 2006
Investment Representative
10325 Meanley Dr, San Diego, CA 92131
Developed, implemented and managed investment portfolios for members.
Serviced four (4) south bay San Diego branches with members whose first language was Spanish
Selected by senior manag...
Jun 2002 — Sep 2003
Financial Advisor
1585 Broadway, New York, NY 10003
Responsible for business development, sales and marketing of investments and financial planning services.
Developed financial solutions and recommendations based on clients' needs and goal...
Oct 1999 — May 2002
Quality Assurance Analyst/Broker Services Representative
Boston, MA
Nov 1997 — Sep 1999
Education
Occupations
Executive
Director
Accountant
Finance and Accounting Specialist
Operations Manager
Accounting Bookkeeper
Bookkeeper
Skills
Finra
Investments
Financial Services
Management
Business Development
Series 6
Strategic Financial Planning
Finance
Sales
Marketing
Team Leadership
Program Management
Insurance
Customer Service
Financial Advisory
Securities
Banking
Retirement Planning
Fixed Annuities
Teamwork
Wealth Management
Variable Annuities
Investment Management
Investment Advisory
Risk Management
Series 63
Series 7
Cams
FAQs about Roberto Martinez
What's the main profession of Roberto Martinez?
The expert is a Director of Compliance.
What jobs is Roberto Martinez a professional at?
The expert is a professional Executive and Director jobs.
Where is Roberto Martinez currently located?
Roberto is located in Dallas, Texas.
Does Roberto Martinez have the email address?
ro**@lfg.com is The expert's email address.
Where did Roberto Martinez work?
The professional worked at Prospera Financial, Cobra Trading.
Where has Roberto Martinez studied?
Roberto studied at the Tufts University.
What are the certifications of Roberto Martinez?
The expert received the following certifications: Cams.
Are there any industries, that Roberto Martinez works in?
This person works in Financial Services industry.