DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Stephen Alan Martin
Feed of 09/14/2026
Also filed as Steve Martin
At current firm
4 y
since May 18, 2022
In the industry
15 y
since Nov 17, 2010 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 18, 2022 · Trussville, Al
- Cuna Brokerage Services, Inc. formerJun 21, 2019 to May 18, 2022 · Birmingham, Al
- MML Investors Services, LLC BD affiliatedJul 28, 2017 to Apr 16, 2019 · Birmingham, Al
- Valic Financial Advisors, Inc. BD affiliatedJun 10, 2015 to Aug 6, 2015 · Birmingham, Al
- Sterne Agee Asset Management, Inc. formerMar 4, 2014 to Mar 30, 2015 · Birmingham, Al
- Cetera Investment Advisers LLC BD affiliatedJan 21, 2014 to Feb 21, 2014 · Schaumburg, Il
- Cetera Investment Services LLC formerFeb 19, 2013 to Jan 21, 2014 · Hoover, Al
- Waddell & Reed formerNov 18, 2010 to Feb 20, 2013 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- MML Investors Services, LLC to Cuna Brokerage Services, Inc.left Apr 16, 2019, registered Jun 21, 2019 (66 days) · Affiliated broker-dealer or bank to another
- Valic Financial Advisors, Inc. to MML Investors Services, LLCleft Aug 6, 2015, registered Jul 28, 2017 (722 days) · Other
- Sterne Agee Asset Management, Inc. to Valic Financial Advisors, Inc.left Mar 30, 2015, registered Jun 10, 2015 (72 days) · Other
- Cetera Investment Advisers LLC to Sterne Agee Asset Management, Inc.left Feb 21, 2014, registered Mar 4, 2014 (11 days) · Other
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- Waddell & Reed to Cetera Investment Services LLCleft Feb 20, 2013, registered Feb 19, 2013 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address