MS
Melvin C. Spain
OASIS WEALTH PLANNING ADVISORS
Franklin, TN 37064
Some features on this profile are disabled
CRD#: 3074772
MS
Professional summary
Melvin C Spain JR is a registered financial advisor currently at OASIS WEALTH PLANNING ADVISORS located in Franklin, Tennessee.
Melvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Melvin has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
What are your service offerings?
Working with middle income fam...
self employed individuals and ...
Do you have an area of expertise or specialization?
Estate & Generational Planning...
Investment Advice with Ongoing...
Middle Income Client Needs
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
MC SPAIN CO-CPA-NON INVESTMENT RELATED-OWNER-PO BOX 322,FRANKLIN,TN, USA-START 1978-TIME 140 HRS PER MONTH AS CPA.
SPAIN & HIGGINBOTHAM CPA GROUP-CPA-25% OWNERSHIP/PARTNER-PO BOX 1475,FRANKLIN,TN, USA-START 2003 (MC SPAIN IS 25% PARTNER IN THIS ENTITY-SEE ABOVE FOR HOURS). SPAIN WEALTH MGMT, LLC-FINANCIAL PLANNING SERVICE-95% OWNER-INVESTMENT RELATED-1127 WEST MAIN ST.,FRANKLIN,TN, USA-START 2004-TIME 25 HRS PER MONTH.
SB GROUP, LLC-EDUCATIONAL MATERIALS FOR BUSINESS OWNERS-NON INVESTMENT RELATED-MEMBER-PO BOX 322, FRANKLIN, TN-TIME AS REQUIRED. BENTLEY FINANCIAL CORPORATION-INVESTMENT RELATED-JT VENTURE ENTITY CREATED AS REAL ESTATE HOLDING CO-PO BOX 322, FRANKLIN,TN- <2 HRS PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Melvin C Spain JR's 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®
NoneExperience
Current
January 26, 2023 - Present
OASIS WEALTH PLANNING ADVISORS
Office #1: 1127 West Main Street, Franklin, TN 37064RIA
CRD#: 285474
Franklin, TN
Past
November 2, 2004 - February 24, 2023
SPAIN WEALTH MANAGEMENT, LLC
RIA
CRD#: 130802
FRANKLIN, TN
Past
January 23, 2004 - October 8, 2004
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
March 1, 2002 - January 27, 2004
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
February 8, 2001 - March 6, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
July 6, 1998 - February 7, 2001
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
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".
OASIS WEALTH PLANNING ADVISORS
OASIS WEALTH PLANNING ADVISORS | OASIS WEALTH PLANNING ADVISORS, LLC
CRD#: 285474 / SEC#: 801-130696
RIA
Registered Investment Advisory firm - (7/16/2024 Approved)Alabama
Registered Investment Advisory firm - (8/1/2024 Terminated)Florida
Registered Investment Advisory firm - (8/1/2024 Terminated)Georgia
Registered Investment Advisory firm - (8/9/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/1/2024 Terminated)Texas
Registered Investment Advisory firm - (8/1/2024 Terminated)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
Tennessee(1/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
OASIS WEALTH PLANNING ADVISORS
OASIS WEALTH PLANNING ADVISORS | OASIS WEALTH PLANNING ADVISORS, LLC
CRD#: 285474 / SEC#: 801-130696
RIA
Registered Investment Advisory firm - (7/16/2024 Approved)Alabama
Registered Investment Advisory firm - (8/1/2024 Terminated)Florida
Registered Investment Advisory firm - (8/1/2024 Terminated)Georgia
Registered Investment Advisory firm - (8/9/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/1/2024 Terminated)Texas
Registered Investment Advisory firm - (8/1/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Nashville, TN
Mailing Address
Phone number
(615) 933-3314
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 819 |
| AUM (Assets Under Management) | $ 267,819,448 |
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.
