Melody C. Lynn
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.
Melody Cheryl Lynn, who also goes by Melody Cheryl Waldo, was a registered financial professional .
Melody is a previously registered financial professional and started their career in finance in 1986. Melody had worked at 18 firms and has passed the Series 63, Series 7, Series 53, Series 27 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 28, 2008 - January 25, 2012
U.S. BANCORP ADVISORS, LLC
June 28, 2006 - July 20, 2006
STERNE, AGEE & LEACH, INC.
April 12, 2005 - May 16, 2006
JONES, BYRD, & ATTKISSON, INC.
May 11, 2001 - June 7, 2002
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
September 26, 2000 - December 21, 2000
CAPBAY FINANCIAL SERVICES
April 14, 1998 - September 30, 1998
ROUND HILL SECURITIES, INC.
January 20, 1997 - March 24, 1998
ROTH CAPITAL PARTNERS, LLC
May 10, 1996 - September 20, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 2, 1995 - January 15, 1997
WELLS FARGO SECURITIES INC.
May 25, 1994 - August 3, 1999
CHESTNUT HILL SECURITIES,INC.
July 17, 1992 - January 5, 1993
A. G. EDWARDS & SONS, INC.
February 10, 1992 - May 13, 1992
MONTGOMERY SECURITIES
May 18, 1991 - December 3, 1991
KW SECURITIES CORPORATION
May 21, 1990 - May 7, 1991
GILBERT MARSHALL & COMPANY
May 11, 1990 - May 29, 1990
KOBER FINANCIAL CORP.
February 21, 1989 - May 21, 1990
LONDON ZURICH SECURITIES, INC.
October 21, 1987 - March 2, 1989
SECURITIES USA, INC.
October 24, 1986 - October 26, 1987
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
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
Current Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
