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AM

Alexander J. Mellor

HIGHTOWER SECURITIES
Chicago, IL 60606-3414
Some features on this profile are disabled
CRD#: 3181393
AM

Professional summary

Alexander James Mellor, who also goes by A J Mellor, Alex J Mellor, Alex James Mellor, Alex Mellor, Alexander J Mellor, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1999. Alexander has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

A J Mellor | Alex J Mellor | Alex James Mellor | Alex Mellor | Alexander J Mellor

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 Alexander James Mellor'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

December 12, 2025 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414
BD
CRD#: 116681
Chicago, IL
Past

February 26, 2021 - July 15, 2025

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 22, 2005 - January 30, 2020

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 21, 2004 - December 31, 2004

BENEDICT FINANCIAL ADVISORS, INC.

RIA
CRD#: 116690
ATLANTA, GA
Past

February 11, 1999 - December 13, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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
Alabama
(1/5/2026)
RR
Alaska
(1/5/2026)
RR
Arizona
(1/5/2026)
RR
Arkansas
(1/5/2026)
RR
California
(1/5/2026)
RR
Colorado
(1/5/2026)
RR
Connecticut
(1/5/2026)
RR
Delaware
(1/5/2026)
RR
District of Columbia
(1/5/2026)
RR
Florida
(12/12/2025)
RR
Georgia
(1/5/2026)
RR
Hawaii
(1/5/2026)
RR
Idaho
(1/5/2026)
RR
Illinois
(1/5/2026)
RR
Indiana
(1/5/2026)
RR
Iowa
(1/5/2026)
RR
Kansas
(1/5/2026)
RR
Kentucky
(1/5/2026)
RR
Louisiana
(1/5/2026)
RR
Maine
(1/5/2026)
RR
Maryland
(1/5/2026)
RR
Massachusetts
(1/5/2026)
RR
Michigan
(1/5/2026)
RR
Minnesota
(1/5/2026)
RR
Mississippi
(1/5/2026)
RR
Missouri
(1/5/2026)
RR
Montana
(1/5/2026)
RR
Nebraska
(1/5/2026)
RR
Nevada
(1/5/2026)
RR
New Hampshire
(1/5/2026)
RR
New Jersey
(1/5/2026)
RR
New Mexico
(1/5/2026)
RR
New York
(1/5/2026)
RR
North Carolina
(1/5/2026)
RR
North Dakota
(1/5/2026)
RR
Ohio
(1/5/2026)
RR
Oklahoma
(1/5/2026)
RR
Oregon
(1/5/2026)
RR
Pennsylvania
(1/5/2026)
RR
Rhode Island
(1/5/2026)
RR
South Carolina
(1/5/2026)
RR
South Dakota
(1/5/2026)
RR
Tennessee
(1/5/2026)
RR
Texas
(1/5/2026)
RR
Utah
(1/5/2026)
RR
Vermont
(1/5/2026)
RR
Virginia
(1/5/2026)
RR
Washington
(1/5/2026)
RR
West Virginia
(1/5/2026)
RR
Wisconsin
(1/5/2026)
RR
Wyoming
(1/5/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/28/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/10/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
HIGHTOWER HOLDING, LLCPARENT COMPANY
BESSO, DOUGLAS JOSEPHCTO1530829
COVIELLO, BARRY ANTHONYEXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION1813688
GRAY, KENDRACHIEF COMPLIANCE OFFICER4388082
GRAY, KENDRAMUNICIPAL PRINCIPAL4388082
KARL, MATTHEW JAMESPRINCIPAL FINANCIAL OFFICER (PFO) & FINOP5361093
SMITH, SCOTT DAVIDCHIEF EXECUTIVE OFFICER2523535

Disclosures

Regulatory Event5
Arbitration1

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

HIGHTOWER SECURITIES, LLC

CRD#: 116681Chicago, IL 60606-3414

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