Melissa J. Fisher
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.
Melissa Jean Fisher, who also goes by Melissa Fisher, Missy Fisher, Melissa Fisher Riordan, Melissa Riordan, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 1987. Melissa had worked at 9 firms and has passed the Series 63, Series 7, Series 8 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
January 12, 2012 - February 22, 2012
EXEMPLAR CAPITAL, LLC
April 26, 2007 - November 5, 2009
SCARSDALE EQUITIES LLC
June 29, 2004 - July 1, 2005
BRIMBERG & CO.
July 27, 2001 - May 5, 2004
TRUIST SECURITIES, INC.
October 1, 1999 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
June 2, 1999 - September 24, 1999
KSH INVESTMENT GROUP, INC.
September 16, 1994 - July 16, 1997
NATWEST SECURITIES CORPORATION
April 26, 1994 - July 19, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
March 23, 1988 - March 21, 1994
NATWEST SECURITIES CORPORATION
December 22, 1987 - February 27, 1988
MOSELEY SECURITIES CORPORATION
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
Series 8
Date: 10/18/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EXEMPLAR CAPITAL, LLC
CRD#: 155786 / SEC#: , 8-68740
Contact information
FINRA licenses (52 States and Territories)
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.
