Melanie S. Sweet
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.
Melanie Sherry Sweet, who also goes by Melanie S Leid, Melanie Sherry Leid, was a registered financial advisor .
Melanie is a previously registered financial advisor and started their career in finance in 1997. Melanie had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
December 7, 2018 - March 19, 2019
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
July 11, 2013 - September 30, 2014
FORTE SECURITIES LLC
November 19, 2012 - August 8, 2017
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
May 9, 2011 - November 16, 2012
BUCKMAN ADVISORY GROUP LLC
March 30, 2011 - November 16, 2012
BUCKMAN, BUCKMAN & REID, INC.
March 30, 2009 - February 8, 2011
INVEST FINANCIAL CORPORATION
March 23, 2009 - February 8, 2011
INVEST FINANCIAL CORPORATION
May 31, 2007 - March 26, 2009
MSI FINANCIAL SERVICES, INC.
May 7, 2007 - March 26, 2009
MSI FINANCIAL SERVICES, INC.
July 26, 2004 - May 3, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 19, 2002 - May 3, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 1998 - November 25, 2002
MORGAN STANLEY DW INC.
April 30, 1998 - November 25, 2002
MORGAN STANLEY DW INC.
November 13, 1997 - April 2, 1998
NOBLE CAPITAL MARKETS, INC.
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
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 7 |
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.
