Mervyn J. D'mello
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.
Mervyn Joel D'mello, who also goes by Mervyn D'mello, Mervyn Joel Dmello, was a registered financial professional .
Mervyn is a previously registered financial professional and started their career in finance in 1995. Mervyn had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - June 22, 2018
TD AMERITRADE, INC.
February 26, 2018 - June 22, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - June 22, 2018
TD AMERITRADE, INC.
May 19, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 10, 2004 - February 26, 2018
SCOTTRADE, INC.
October 3, 2002 - July 7, 2004
CHARLES SCHWAB & CO., INC.
November 5, 1999 - July 7, 2004
CHARLES SCHWAB & CO., INC.
April 5, 1995 - September 24, 1999
IDS LIFE INSURANCE COMPANY
April 5, 1995 - September 24, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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