Steven P. Melen

NICH CAPITAL PARTNERS

BELVEDERE, CA

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CRD#: 2357251

Professional summary

Steven Patrick Melen, who also goes by Steven P Melen, is a registered financial advisor currently at NICH CAPITAL PARTNERS, INC. located in Belvedere, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Steven has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven P Melen

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.

08/01/2019 - Red Frog Bunglaows- Not investment related - Bocas del Toro Panama - Real Estate Rental - start date:10/15/2013 - 0 hrs/mo - 0 hrs during trading. 06/2021 - Abbondanza Racing; not investment-related; Mr. Melen has invested funds into a portion of one racehorse with plan to race at Del Mar meet from July 2021 - September 2021; Passive investor; 0 hours per month; 0 hours during trading. Peony Consulting LLC - Not investment related - Landscaping Company - 53 Creek View Circle, Larkspur, CA 94939 - Title: Project Manager - Start date: 02/2025 - Duties: help coordinate workers and pick up, deliver and assist in planting private residences gardens and yards - Approx 30 hours per month, 0 during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Patrick Melen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 28, 2021 - Present

NICH CAPITAL PARTNERS, INC.

RIA

CRD#: 159260

BELVEDERE, CA

Past

March 26, 2021 - June 16, 2021

NICH CAPITAL PARTNERS, INC.

RIA

CRD#: 159260

Belvedere, CA

Past

March 19, 2019 - April 27, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

March 18, 2019 - April 27, 2021

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

June 1, 2009 - April 1, 2019

MORGAN STANLEY

RIA

CRD#: 149777

SAN FRANCISCO, CA

Past

June 1, 2009 - April 1, 2019

MORGAN STANLEY

CRD#: 149777

SAN FRANCISCO, CA

Past

May 11, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN FRANCISCO, CA

Past

May 11, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

November 21, 2005 - June 5, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

January 12, 1994 - June 5, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NICH CAPITAL PARTNERS, INC.

NICH CAPITAL PARTNERS, INC. | NICH CAPITAL PARTNERS, LLC

CRD#: 159260 / SEC#: 801-121774

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (11/17/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/1/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NICH CAPITAL PARTNERS, INC.

NICH CAPITAL PARTNERS, INC. | NICH CAPITAL PARTNERS, LLC

CRD#: 159260 / SEC#: 801-121774

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

California

Registered Investment Advisory firm - (11/17/2021 Terminated)

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Contact information

Main Address

La Quinta, CA

Mailing Address

Phone number

(415) 203-3896

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/30/2025)

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 172,584,684

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.

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Advisor Monitoring

Firm Stability Insights

Steven P. Melen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Patrick Melen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NICH CAPITAL PARTNERS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

NICH CAPITAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2005

Series 63

Date: 2/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/11/1994

Series 8

Date: 7/1/1997

Current Firm

NICH CAPITAL PARTNERS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NICH CAPITAL PARTNERS, INC.

TRUST BUT VERIFY

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