Roxane Mellor
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.
Roxane Mellor, who also goes by Roxane Dargento, was a registered financial professional .
Roxane is a previously registered financial professional and started their career in finance in 1995. Roxane had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2019 - December 9, 2020
LAMON & STERN, INC.
January 21, 2003 - May 7, 2019
SPOONHILL ASSET MANAGEMENT, INC.
November 20, 1995 - October 23, 2002
MORGAN STANLEY DW INC.
August 15, 1995 - October 20, 1995
ECM SECURITIES, INC.
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
LAMON & STERN, INC.
CRD#: 10839 / SEC#: , 8-28694
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
