Alan W. Mele
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.
Alan William Mele was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 4 firms and has passed the Series 63, 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
April 22, 2015 - March 18, 2022
TRIBAL CAPITAL MARKETS, LLC
October 8, 2014 - April 15, 2015
RAYMOND C. FORBES & CO., INC.
June 16, 2006 - November 23, 2012
UBS SECURITIES LLC
September 21, 1983 - June 28, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
