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MW

Melvin L. Wimmer

Some features on this profile are disabled
CRD#: 1888431
MW

Professional summary

Melvin Leonard Wimmer JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Melvin is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Melvin had worked at 7 firms, which includes FIRST SOUTHEAST INVESTOR SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., HOWARD WEIL INCORPORATED, UVEST FINANCIAL SERVICES GROUP INC., GUARDIAN INVESTOR SERVICES LLC, WACHOVIA SECURITIES INC., ROBERT THOMAS SECURITIES INC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Wimmer | Melvin Leonard Wimmer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 5, 2007 - April 23, 2007

FIRST SOUTHEAST INVESTOR SERVICES, INC.

BD
CRD#: 45555
GREENWOOD, SC
Past

January 6, 2003 - September 26, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
GREENWOOD, SC
Past

November 18, 2002 - September 26, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
GREENWOOD, SC
Past

June 15, 1994 - December 2, 2002

HOWARD WEIL INCORPORATED

BD
CRD#: 30958
NEW ORLEANS, LA
Past

February 8, 1993 - April 30, 1997

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

August 7, 1990 - February 8, 1993

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

April 3, 1989 - August 10, 1990

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

December 20, 1988 - April 5, 1989

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/16/2004
General Securities Sales Supervisor - General Module Examination

Current Firm

FS
FIRST SOUTHEAST INVESTOR SERVICES, INC.
FIRST SOUTHEAST INVESTOR SERVICES, INC.

CRD#: 45555 / SEC#: , 8-51087

BD
Terminated by SEC on 08/29/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
South Carolina since 12/11/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTH STATE BANKPARENT COMPANY
DEHAVEN, LISA SALVOS.V.P. / CHIEF COMPLIANCE OFFICER & CORPORATE SECRETARY2783601
ENDRES, MARK GERARDCFO/DIRECTOR2998235
JACQUES, ED JOHNDIRECTOR6423988
NORRIS, KIMBERLY MEETZEPRINCIPAL4670324
SEASE, TIMOTHY BLANECHIEF EXECUTIVE OFFICER1927066
SEASE, TIMOTHY BLANEPRESIDENT / DIRECTOR1927066
WINDLEY, JOHN FRANKDIRECTOR6424079

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.

Company Information

FIRST SOUTHEAST INVESTOR SERVICES, INC.

CRD#: 45555

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