Melanie S. Dicenso-dahn
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.
Melanie Sue Dicenso-dahn, who also goes by Malanie Sue Dicenso, Melaine Sue Dicenso, Melanie Sue Dicenso, Melanie Sue Hemming, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 1983. Melanie had worked at 15 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2021 - November 24, 2021
LPL FINANCIAL LLC
March 15, 2018 - August 17, 2021
VESTECH ASSET MANAGEMENT INC.
February 14, 2017 - March 8, 2018
CUTTINGEDGE ADVISORS
June 11, 2016 - June 11, 2021
IBN FINANCIAL SERVICES, INC.
June 3, 2016 - August 17, 2021
VESTECH SECURITIES, INC.
July 9, 2015 - May 26, 2016
OAKBRIDGE FINANCIAL SERVICES
July 8, 2015 - December 31, 2016
CUTTINGEDGE ADVISORS
May 12, 2011 - July 2, 2015
CONCORDE ASSET MANAGEMENT, LLC
May 2, 2011 - July 2, 2015
CONCORDE INVESTMENT SERVICES, LLC
September 10, 2010 - May 4, 2011
SECURITIES AMERICA ADVISORS, INC.
September 10, 2010 - May 4, 2011
SECURITIES AMERICA, INC.
January 7, 2010 - September 16, 2010
EQUITAS AMERICA, LLC
July 2, 2007 - September 16, 2010
EQUITAS AMERICA, LLC
February 1, 2007 - April 2, 2007
GUNNALLEN FINANCIAL, INC
February 1, 2007 - July 25, 2007
GUNNALLEN FINANCIAL, INC
January 8, 2004 - February 1, 2007
QUESTAR CAPITAL CORPORATION
May 30, 1997 - January 28, 2004
EQUITAS AMERICA, LLC
May 25, 1984 - May 29, 1997
MARINER FINANCIAL SERVICES, INC.
June 22, 1983 - June 11, 1984
PENNSYLVANIA SECURITIES COMPANY
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
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.
