Melinda Stephens
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.
Melinda Stephens was a registered financial professional .
Melinda is a previously registered financial professional and started their career in finance in 1995. Melinda had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - January 2, 2014
FINANCIAL WEST GROUP
June 2, 2011 - January 2, 2014
FINANCIAL WEST GROUP
February 26, 2008 - June 7, 2011
NWF ADVISORY SERVICES INC
February 14, 2008 - June 3, 2011
OSAIC WEALTH, INC.
March 21, 2003 - October 5, 2004
NWF ADVISORY SERVICES INC
February 12, 2003 - June 3, 2011
OSAIC WEALTH, INC.
October 17, 1997 - February 7, 2003
SCHOFF & BAXTER, INC.
July 28, 1995 - October 3, 1997
MORGAN STANLEY DW 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
Series 8
Date: 3/4/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 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.
