Thomas C. Melter
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.
Thomas Carl Melter was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 5 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
February 2, 2017 - September 14, 2022
MELTER FINANCIAL LLC
March 18, 1996 - January 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 1983 - January 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 5/18/1983
Interest Rate Options ExaminationCurrent Firm
MELTER FINANCIAL LLC
CRD#: 286424 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 18,500,000 |
Red Flags
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