Melinda L. Spence
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Melinda Lee Spence, who also goes by Mindy Spence, was a registered financial professional .
Melinda is a previously registered financial professional and started their career in finance in 1982. Melinda had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2020 - January 8, 2021
TD AMERITRADE, INC.
October 15, 2009 - July 20, 2010
QUEST CAPITAL STRATEGIES, INC.
May 18, 2007 - November 5, 2007
GBS FINANCIAL CORP.
August 25, 1993 - August 30, 2006
HOEFER & ARNETT, INCORPORATED
October 30, 1987 - August 24, 1993
L. H. ALTON & COMPANY
March 13, 1986 - December 10, 1988
PRUDENTIAL EQUITY GROUP, LLC
November 6, 1984 - January 10, 1985
WEDBUSH SECURITIES INC.
May 6, 1982 - April 14, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/28/2020
General Securities Representative ExaminationSeries 55
Date: 9/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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