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MH

Melvin D. Herrell

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CRD#: 2216596
MH

Professional summary

Melvin Donald Herrell JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Melvin is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Melvin had worked at 5 firms, which includes FISERV INVESTOR SERVICES INC., IFMG SECURITIES INC., NOBLE CAPITAL MARKETS INC., NATIONSSECURITIES, MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melvin Donald Herrell

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

September 16, 1998 - February 5, 1999

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

October 15, 1996 - August 26, 1998

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

February 28, 1995 - October 7, 1996

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

July 12, 1993 - November 17, 1994

NATIONSSECURITIES

BD
CRD#: 32542
Past

March 23, 1992 - July 12, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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: 5/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1992
General Securities Representative Examination

Current Firm

FI
FISERV INVESTOR SERVICES, INC.
BHC MARKETING, INC. | FISERV INVESTOR SERVICES, INC. | BHCM INC.

CRD#: 34637 / SEC#: , 8-46496

BD
Terminated by SEC on 02/12/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/17/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BHC INVESTMENTS, INC.SHAREHOLDER
COLLEPS, ELIZABETH ANNVICE PRESIDENT/CONTROLLER1033129
KATZELNICK, MARK CURTISDIRECTOR2919730
MINI, STEPHEN ANTHONYCOMPLIANCE OFFICER1272424
PHILLIPS, STEPHEN JOHNPRESIDENT3078395

Disclosures

Regulatory Event5
Arbitration3

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

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

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