Melinda G. Koosman
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 G Koosman, who also goes by Melinda G Callerstrom, Melinda G Jackson, was a registered financial professional .
Melinda is a previously registered financial professional and started their career in finance in 1998. Melinda had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2019 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 24, 2019 - April 21, 2020
FIRST ALLIED SECURITIES, INC.
October 24, 2019 - April 21, 2020
CETERA INVESTMENT SERVICES LLC
October 24, 2019 - April 21, 2020
CETERA FINANCIAL SPECIALISTS LLC
October 24, 2019 - April 21, 2020
CETERA ADVISORS LLC
October 24, 2019 - April 21, 2020
CETERA WEALTH SERVICES, LLC
July 22, 2015 - May 2, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 27, 2013 - March 14, 2014
RIVERSOURCE DISTRIBUTORS, INC.
November 9, 2007 - December 31, 2010
RIVERSOURCE DISTRIBUTORS, INC.
May 19, 2004 - November 8, 2007
TRANSAMERICA CAPITAL, LLC
July 20, 1998 - May 3, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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