William H. Mell
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.
William Harvey Mell was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 12 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 1990 - January 2, 2009
W. H. MELL ASSOCIATES, INC.
September 9, 1988 - February 17, 1990
GMS GROUP
August 24, 1988 - December 31, 1988
MOORE & SCHLEY, CAMERON & CO.
September 14, 1987 - July 14, 1988
E.A. MOOS & CO. L.P.
September 11, 1985 - August 28, 1987
DISCOUNT CORPORATION OF NEW YORK MUNICIPALS
December 3, 1984 - April 30, 1985
GLICKENHAUS & CO.
May 10, 1982 - November 23, 1982
W.H. MELL, MUNICIPALS, INC.
September 24, 1979 - April 7, 1982
MABON, NUGENT & CO.
February 6, 1976 - September 17, 1980
W. H. MELL, INC.
February 27, 1970 - January 16, 1976
DILLON, READ OVERSEAS CORPORATION
January 29, 1970 - February 18, 1973
SBC WARBURG DILLON READ INC.
August 25, 1969 - January 12, 1972
DILLON READ MUNICIPALS INC
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
Series 1
Date: 11/25/1962
Registered Representative ExaminationSeries 00
Date: 8/15/1969
General Securities Principal ExaminationCurrent Firm
W. H. MELL ASSOCIATES, INC.
CRD#: 23635 / SEC#: , 8-40608
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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