Melanie S. Smith
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 Susan Smith, who also goes by Melanie S Smith, was a registered financial advisor .
Melanie is a previously registered financial advisor and started their career in finance in 1997. Melanie had worked at 7 firms and has passed the Series 66, SIE 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
February 27, 2015 - February 1, 2017
NATIONAL SECURITIES CORPORATION
September 17, 2012 - September 2, 2014
GLOBAL ARENA CAPITAL CORP
February 3, 2012 - March 30, 2012
SAXONY SECURITIES, INC.
January 29, 2010 - January 17, 2012
LPL FINANCIAL LLC
January 27, 2010 - January 17, 2012
LPL FINANCIAL LLC
April 25, 2008 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
March 4, 2005 - May 7, 2008
UBS FINANCIAL SERVICES INC.
April 16, 2004 - March 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1997 - March 9, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
