Melissa L. Nielsen
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.
Melissa L Nielsen, who also goes by Melissa Lyn Matzen, Melissa Lyn Secor, Melissa L Secor, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 1996. Melissa had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 53 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
July 4, 2022 - August 20, 2024
MORGAN STANLEY
September 24, 2021 - August 20, 2024
MORGAN STANLEY
October 13, 2015 - January 22, 2021
SMITH ASSOCIATES, LLC
December 12, 2011 - December 31, 2012
1ST BRIDGEHOUSE SECURITIES, LLC
February 25, 2011 - August 5, 2011
BANIF TRADING, INC.
April 30, 2009 - February 25, 2011
1ST BRIDGEHOUSE SECURITIES, LLC
January 22, 2007 - April 10, 2007
OSAIC INSTITUTIONS, INC.
June 11, 2002 - December 15, 2006
MACATAWA INVESTMENT SERVICES, INC.
October 1, 1997 - July 5, 2001
THE HUNTINGTON INVESTMENT COMPANY
September 25, 1996 - October 1, 1997
FMB INVESTMENT SERVICES
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 7TO
Date: 7/2/2022
General Securities Representative ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
