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MC

Mel M. Chez

FRONTIER SECURITIES
Richmond, VA 23233
Some features on this profile are disabled
CRD#: 3144308
MC

Professional summary

Mel Michael Chez is a registered financial professional currently at FRONTIER SECURITIES located in Richmond, Virginia.

Mel is registered as a RR (Registered Representative) and started their career in finance in 1999. Mel has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Mel Michael Chez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 29, 2015 - Present

FRONTIER SECURITIES

Office #1: 3307 Church Road, Suite 220, Richmond, VA 23233Office #2: 3307 Church Road Suite 220, Richmond, VA 23233
BD
CRD#: 136102
Richmond, VA
Past

April 20, 2010 - May 1, 2015

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

September 1, 2006 - April 9, 2010

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

August 23, 2006 - August 24, 2006

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

December 1, 2005 - September 6, 2006

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
SAN MATEO, CA
Past

February 19, 1999 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/29/2015)
RR
Colorado
(9/20/2018)
RR
Connecticut
(3/1/2018)
RR
District of Columbia
(2/15/2018)
RR
Georgia
(12/27/2016)
RR
Illinois
(9/29/2015)
RR
Kansas
(6/8/2018)
RR
Maryland
(9/20/2018)
RR
Massachusetts
(9/20/2018)
RR
Minnesota
(9/29/2015)
RR
New Jersey
(9/20/2018)
RR
New York
(9/29/2015)
RR
North Carolina
(9/21/2018)
RR
Ohio
(9/21/2018)
RR
Pennsylvania
(9/20/2018)
RR
South Carolina
(9/20/2018)
RR
Texas
(9/29/2015)
RR
Virginia
(10/1/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/18/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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.

Company Information

FRONTIER SECURITIES

CRD#: 136102Richmond, VA 23233

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