Jon R. Mellberg
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.
Jon Robert Mellberg was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1992. Jon had worked at 5 firms and has passed the Series 63, Series 86, Series 87, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2004 - June 12, 2014
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
November 28, 2000 - October 26, 2004
SANDERS MORRIS LLC
January 4, 1999 - January 12, 2000
SANDERS MORRIS LLC
October 10, 1994 - January 22, 1999
ML PETRIE PARKMAN CO., INC.
January 15, 1993 - October 4, 1994
CHARLES SCHWAB & CO., INC.
November 5, 1992 - November 24, 1992
DICKINSON & CO.
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 55
Date: 4/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
CRD#: 129772 / SEC#: , 8-66251
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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