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Thomas Robert Mellor

CRD# 1060585·Registered 1982 - 2020
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Robert Mellor was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1982 - 2020. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

LAMON & STERN, INC.·CRD# 10839
BD
Atlanta, GA
May 14, 2019 - December 9, 2020
SPOONHILL ASSET MANAGEMENT, INC.·CRD# 122377
BD
Cohasset, MA
January 21, 2003 - March 8, 2019
SANDERS MORRIS LLC·CRD# 20580
BD
Houston, TX
July 1, 2000 - January 29, 2003
BLACKFORD SECURITIES CORP.·CRD# 20954
BD
Garden City, NY
October 23, 1990 - July 1, 2000
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
August 26, 1982 - October 8, 1990

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Current Firm

L&
LAMON & STERN, INC.

COMFUND SECURITIES CORPORATION | LAMON-CALLOWAY, INC. | LAMON - CALLAWAY, INC. | LAMON & STERN, INC. | HML EQUITIES, INC. | ESTATE CONSERVATION INC.

CRD#: 10839 / SEC#: 8-28694
BD
Terminated by SEC on 10/14/2024

Contact Information

Established

Georgia since 09/01/1978

Firm Type

Corporation

Fiscal Year End

June

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN III, GEORGE THOMASFINANCIAL AND OPERATIONS PRINCIPAL4127517
REUTHER, WILLIAM NOLANCHIEF COMPLIANCE OFFICER5539627

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1982About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed May 1985About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Aug 1982About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2002About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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