Richard Martin has been Chief Compliance Officer of Googins Advisors since January 2026, is a control person of the firm and directly owns under 5% of it.
Googins Advisors, Inc. is a Middleton, WI firm with $566M under management, 796 clients and 3 advisers in one office, as of its September 2026 filing.
Richard Martin’s longest registration was 10 years at Asset Allocation Strategies, LLC (2011–2021). Before joining Googins Advisors in 2021, Richard Martin was registered through Asset Allocation Strategies, LLC.
- Googins Advisors, Inc.Current– present · 5 yearsMiddleton, WI · Adviser representative · Firm CRD 13985
- Asset Allocation Strategies, LLC– · 10 yearsFarmington Hills, MI · Adviser representative · Firm CRD 152339
Investment adviser representative registrations
Richard Martin is registered as an investment adviser representative in 11 states, as a resident of Texas. The first approvals date from March 2021; the most recent is Minnesota, in December 2024.
- CaliforniaSince 16 June 2022
- ColoradoSince 21 May 2024
- IllinoisSince 21 June 2022
- IndianaSince 24 March 2021
- MichiganSince 25 March 2021
- MinnesotaSince 6 December 2024
- NebraskaSince 29 March 2021
- North CarolinaSince 5 December 2024
- TexasResidentSince 5 December 2024
- WashingtonSince 4 December 2024
- WisconsinSince 8 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 22 December 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 August 2003 |
| Series 7 | General Securities Representative Examination | 10 April 2003 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Hubbard Martin
- CRD
- 4499529
- Firm
- Googins Advisors · CRD 13985
- Role
- Chief Compliance Officer
- Office
- 6417 UNIVERSITY AVENUE, Middleton, WI 53562
- Registration
- Investment adviser registration
- In the industry since
- April 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Martin work?
Richard Martin has been Chief Compliance Officer of Googins Advisors, Inc. since January 2026, and is a control person of the firm.
Is Richard Martin a financial advisor?
Yes. Richard Martin has a current investment-adviser registration in California, Colorado, Illinois, Indiana, Michigan, Minnesota, Nebraska, North Carolina, Texas, Washington and Wisconsin, through Googins Advisors since March 2021.
How many years of experience does Richard Martin have?
Richard Martin has 23 years in the financial industry, since April 2003, across 2 adviser firms.
What exams has Richard Martin passed?
Richard Martin has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 99TO. The earliest, the Series 7, was passed in April 2003. FINRA credited Richard Martin with the SIE, which began in October 2018.
Where is Richard Martin based?
Richard Martin’s registered office is in Middleton, WI.
Is Richard Martin registered with FINRA?
No. Richard Martin has no current broker registration.
How can I verify Richard Martin’s record?
Search CRD 4499529 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Martin’s full registration record.