Katherine A. Proyce
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.
Katherine Ann Proyce was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1984. Katherine had worked at 6 firms and has passed the Series 63, SIE 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 3, 1993 - December 31, 2016
MELLIN SECURITIES, INC.
May 4, 1989 - February 3, 1993
FINANCIAL SQUARE PARTNERS
February 28, 1989 - May 11, 1989
HAMBRECHT & QUIST LLC
March 14, 1988 - May 13, 1988
J.P. MORGAN SECURITIES LLC
July 30, 1987 - April 14, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 18, 1984 - August 13, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MELLIN SECURITIES, INC.
CRD#: 30106 / SEC#: , 8-44743
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MELLIN, ARTHUR BERNARD | PRESIDENT/DIRECTOR/PRINCIPAL/CCO | 821638 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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