Melina M. Sansi
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.
Melina Marie Sansi was a registered financial professional .
Melina is a previously registered financial professional and started their career in finance in 1999. Melina had worked at 6 firms and has passed the Series 66, Series 63, 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
April 11, 2023 - November 20, 2023
CALDWELL SUTTER CAPITAL, INC.
February 8, 2018 - April 3, 2023
NBC SECURITIES, INC.
February 8, 2018 - April 3, 2023
NBC SECURITIES, INC.
December 2, 2015 - April 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2015 - April 4, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2012 - January 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2011 - January 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2006 - April 19, 2011
ESSEX NATIONAL SECURITIES, LLC
April 8, 1999 - December 1, 2006
CUSO FINANCIAL SERVICES, L.P.
January 1, 1999 - April 2, 1999
GBS FINANCIAL CORP.
Primary Firm SEC Registration
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
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
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory assets under management
| Total Number of Accounts | 1,249 |
| AUM (Assets Under Management) | $ 605,675,350 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 |
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.
