Martin James Flores

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2012 → Present
  Lpl Financial
  Los Alamitos, CA

Previous Registrations

• 2005-12-07 → 2012-01-20
  U.S. Bancorp Advisors, Llc
  Santa Ana, CA
  Santa Ana, CA
  Tustin, CA
  Tustin, CA
  Brea, CA
  Fullerton, CA
  Santa Ana, CA
  Long Beach, CA
  Orange, CA
  Santa Ana, CA
  Orange, CA
• 2005-05-11 → 2005-12-07
  Wells Fargo Investments, Llc
  Seal Beach, CA

Other Businesses

(1) 01/12/2012: REAL ESTATE RENTAL - RENTAL PROPERTY THAT MERELY SERVES AS A INVESTMENT. - 0% OF TIME - NEWPORT, CA. (2) 5/29/2012: NON-VARIABLE INSURANCE - MJF FINANCIAL, INC. - MARTIN FLORES IS THE SOLE OWNER AND UTILZES THE CORPORATION FOR NON-VARIABLE FIXED INSURANCE.(LIFE, DISABILITY) - TIME SPENT 5% - NEWPORT BEACH, CA. (3) 10/24/2012: DBA ONLY - MJF FINANCIAL, INC. - MARTIN FLORES IS THE SOLE OWNER AND UTILZES THE CORPORATION FOR NON-VARIABLE FIXED INSURANCE AS WELL AS ALL ASPECTS OF FINANICAL PLANNING INCLUDING; ADVISORY, FIXED ANNUITIES, INDEXED ANNUITIES, VARIABLE ANNUITIES, BROKERAGE BUSINESS, ESTATE PLANNING - TIME SPENT 5% - NEWPORT BEACH, CA (4) 6/28/2018 - Gates Group Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:06/26/2018 - 1 Hours Per Month/1 Hours During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2005-05-10
• S63 Uniform Securities Agent State Law Examination
  2001-02-26