Melvin C. Spain

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CRD#: 3074772

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.

Melvin C Spain JR was a registered financial professional .

Melvin is a previously registered financial professional and started their career in finance in 1998. Melvin had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Core Areas of Focus

Estate & Generational Planning Issues

Investment Advice with Ongoing Management

Middle Income Client Needs

Tax Planning

Question & Answer

What are your service offerings?

Working with middle income fam...

self employed individuals and ...

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 26, 2023 - December 31, 2025

OASIS WEALTH PLANNING ADVISORS

RIA

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

CRD#: 4031

CONSHOHOCKEN, PA

Past

March 1, 2002 - January 27, 2004

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

February 8, 2001 - March 6, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 6, 1998 - February 7, 2001

1ST GLOBAL CAPITAL CORP.

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 11/25/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/2/1998

General Securities Representative Examination

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)

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Contact information

Main Address

Nashville, TN

Mailing Address

Phone number

(615) 933-3314

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OASIS WEALTH PLANNING ADV PART 2A AMENDMENT V.12.16.25 (12/16/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Melvin C. Spain

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPAIN WEALTH MANAGEMENT, LLC

HORNOR, TOWNSEND & KENT, LLC

WOODBURY FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

OASIS WEALTH PLANNING ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/25/2002

Series 63

Date: 7/27/1998

Series 7

Date: 7/2/1998

Current Firm

OASIS WEALTH PLANNING ADVISORS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OASIS WEALTH PLANNING ADVISORS

TRUST BUT VERIFY

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