Melvin C. Brazie

TUDOR FINANCIAL

Dayton, OH 45458-2103

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CRD#: 29441

Professional summary

Melvin Charles Brazie II, who also goes by Mel Brazie, is a registered financial advisor currently at TUDOR FINANCIAL, INC. located in Dayton, Ohio.

Melvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Melvin has worked at 11 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mel Brazie

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Tudor Financial- IAR - Investment Related**B&B TAX & BOOKKEEPING SERVICE, INC - NON-INVESTMENT RELATED - SAME ADDRESS - BOOKKEEPING AND TAX PREP - OWNER - 1993 - 120 HR/MO - 80 HRS/MO DURING TRADING - BOOKKEEPING AND INCOME TAX SERVICES **VARIOUS INSURANCE - NON-INVESTMENT RELATED - SAME ADDRESS - INSURANCE SALES - AGENT/CONTRACTOR - 1970 - 5 HRS/MO - ALL DURING TRADING - LTC, SPDA, SPIA AND OTHER INSURANCE PRODUCT SALES AND SERVICE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melvin Charles Brazie II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 27, 2016 - Present

TUDOR FINANCIAL, INC.

Office #1: 8111 Timberlodge Trail, Dayton, OH 45458-2103

RIA

CRD#: 121495

Dayton, OH

Past

January 8, 2016 - December 31, 2023

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

DAYTON, OH

Past

August 26, 2010 - December 31, 2015

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

Vandalia, OH

Past

July 30, 2010 - December 31, 2015

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

Vandalia, OH

Past

November 7, 2006 - April 19, 2013

WHITEHALL FINANCIAL SERVICES, INC.

RIA

CRD#: 141486

VANDALIA, OH

Past

November 2, 2006 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

VANDALIA, OH

Past

March 31, 2003 - November 3, 2006

WESTMINSTER FINANCIAL ADVISORY CORP

RIA

CRD#: 110283

VANDALIA, OH

Past

April 2, 1998 - November 3, 2006

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

October 1, 1997 - April 2, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 10, 1997 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

December 23, 1993 - May 6, 1996

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

March 20, 1990 - November 6, 1991

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

April 7, 1988 - December 1, 1993

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

August 29, 1985 - April 12, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

January 2, 1973 - September 12, 1985

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TUDOR FINANCIAL, INC.

TUDOR CONSULTING, INC. | TUDOR FINANCIAL, INC.

CRD#: 121495 / SEC#: 801-118723

RIA

Registered Investment Advisory firm - (5/14/2020 Approved)

Florida

Registered Investment Advisory firm - (8/7/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (6/20/2017 Terminated)

Ohio

Registered Investment Advisory firm - (8/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(1/27/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/16/1972

Registered Representative Examination

Current Firm

TUDOR FINANCIAL, INC.

TUDOR CONSULTING, INC. | TUDOR FINANCIAL, INC.

CRD#: 121495 / SEC#: 801-118723

RIA

Registered Investment Advisory firm - (5/14/2020 Approved)

Florida

Registered Investment Advisory firm - (8/7/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (6/20/2017 Terminated)

Ohio

Registered Investment Advisory firm - (8/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2020 Terminated)

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Contact information

Main Address

8111 Timberlodge Trail, Dayton, OH 45458-2103

Mailing Address

Phone number

(937) 439-9292

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TUDOR FINANCIAL, INC. (3/24/2025)

Regulatory assets under management

Total Number of Accounts	428
AUM (Assets Under Management)	$ 220,608,752

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.

Contact information

xxxxx@xxxx.xxx

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Melvin C. Brazie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melvin Charles Brazie II's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

WHITEHALL FINANCIAL SERVICES, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

WESTMINSTER FINANCIAL ADVISORY CORP

WESTMINSTER FINANCIAL SECURITIES, INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

WESTMINSTER FINANCIAL SECURITIES, INC.

FSC SECURITIES CORPORATION

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

TUDOR FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1999

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/16/1972

Current Firm

TUDOR FINANCIAL, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUDOR FINANCIAL, INC.

TRUST BUT VERIFY

Contact information

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