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Theron K. Picketts

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CRD#: 1202917
TP

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.

Theron Keith Picketts was a registered financial professional .

Theron is a previously registered financial professional and started their career in finance in 1985. Theron had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 31, 2024 - February 26, 2024

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

October 7, 2022 - July 14, 2023

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 22, 2022 - December 31, 2025

EMERGE CAPITAL MANAGEMENT

RIA
CRD#: 284581
Chicago, IL
Past

February 28, 2018 - September 2, 2021

BROAD STREET CAPITAL MARKETS, LLC

BD
CRD#: 104026
HOLMDEL, NJ
Past

March 5, 2014 - June 3, 2016

TOPEKA CAPITAL MARKETS INC.

BD
CRD#: 154133
CHICAGO, IL
Past

September 6, 2007 - March 21, 2014

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

December 5, 2002 - July 6, 2007

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

February 18, 1989 - November 9, 2001

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 10, 1986 - April 5, 1988

PERSHING LLC

BD
CRD#: 7560
Past

December 17, 1985 - July 9, 1986

H. A. BRANDT & ASSOCIATES, INC

BD
CRD#: 6575

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/15/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination

Current Firm

MS
MELVIN SECURITIES, L.L.C.
MELVIN & COMPANY | MELVIN SECURITIES, L.L.C. | MELVIN SECURITIES, L.L.C. | MELVIN SECURITIES CORPORATION

CRD#: 29767 / SEC#: , 8-41505

BD
Postponed Effective by SEC on 05/03/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 03/10/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MELVIN & COMPANY, L.L.C.MEMBER
RORKE, ALEXANDER IRWINSENIOR MANAGING DIRECTOR1372205
RORKE, ALEXANDER IRWINSENIOR MANAGING DIRECTOR/MEMBER/CCO/COO1372205

Disclosures

Regulatory Event8
Civil Event1

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.

Company Information

MELVIN SECURITIES, L.L.C.

CRD#: 29767

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