Melvin D. Lindsey
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.
Melvin Duane Lindsey, who also goes by Mel D Lindsey, Mel Lindsey, was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1988. Melvin had worked at 7 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2011 - November 26, 2012
ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
August 3, 2006 - April 7, 2011
QUASAR DISTRIBUTORS, LLC
July 1, 2003 - June 21, 2006
JULIUS BAER SECURITIES INC.
July 31, 1993 - September 28, 1994
CITIGROUP GLOBAL MARKETS INC.
November 6, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
October 21, 1988 - November 11, 1989
MORGAN STANLEY DW INC.
April 28, 1988 - September 28, 1988
ELLMAN & HOWE SECURITIES
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
ARTIO GLOBAL INSTITUTIONAL SERVICES LLC
CRD#: 154652 / SEC#: , 8-68656
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTIO GLOBAL HOLDINGS LLC | MEMBER | |
| BOCXE, HENDRICUS FRANCISCO | CHIEF COMPLIANCE OFFICER & EXECUTIVE PREPRESENTATIVE | 2759565 |
| CHAMBERS, THOMAS EDGAR JR | CHIEF FINANCIAL OFFICER & FINOP | 1743574 |
| MIRABELLA, LISA ANN | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5334902 |
| WILLIAMS, ANTHONY GRAEME | CHIEF EXECUTIVE OFFICER | 3182090 |
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.
