James R. Mellin
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.
James Richard Mellin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2008 - November 13, 2015
MELLIN SECURITIES, INC.
April 10, 1996 - November 28, 2006
DRIEHAUS SECURITIES LLC
August 2, 1995 - December 8, 1995
WINGSPAN INVESTMENT SERVICES
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: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
MELLIN SECURITIES, INC.
CRD#: 30106 / SEC#: , 8-44743
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MELLIN, ARTHUR BERNARD | PRESIDENT/DIRECTOR/PRINCIPAL/CCO | 821638 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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