Melissa Berth
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 Berth, who also goes by Melissa Louise Leonardo, Melissa Leonardo, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 1990. Melissa had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 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
July 17, 2023 - June 27, 2024
RAYMOND JAMES & ASSOCIATES, INC.
July 14, 2023 - June 27, 2024
RAYMOND JAMES & ASSOCIATES, INC.
March 20, 2003 - November 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2001 - March 20, 2003
FAM DISTRIBUTORS, INC.
April 26, 2000 - June 28, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1998 - December 21, 1999
ICBA SECURITIES
February 5, 1998 - December 20, 1999
VINING-SPARKS IBG, LLC
February 4, 1995 - April 30, 1997
PERSHING LLC
March 15, 1993 - November 16, 1994
KIDDER, PEABODY & CO. INCORPORATED
February 5, 1992 - March 10, 1993
CITIGROUP GLOBAL MARKETS INC.
September 17, 1990 - December 10, 1991
FINANCIAL SQUARE PARTNERS
May 31, 1990 - September 28, 1990
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
