Robert R. Melton
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.
Robert Raymond Melton, who also goes by Bob Melton, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 8 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2001 - April 24, 2015
CADARET, GRANT & CO., INC.
April 14, 1998 - January 16, 2001
PITTSFORD CAPITAL MARKETS, INC
February 13, 1998 - March 9, 1998
PITTSFORD CAPITAL MARKETS, INC
June 25, 1992 - May 6, 1997
1717 CAPITAL MANAGEMENT COMPANY
November 19, 1989 - March 13, 1998
OSAIC WEALTH, INC.
March 29, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 30, 1980 - May 31, 1985
VP DISTRIBUTORS LLC
July 30, 1974 - June 5, 1978
QUINBY & CO., INCORPORATED
November 19, 1971 - April 6, 1983
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
October 13, 1970 - August 12, 1973
INTEGRATED RESOURCES EQUITY CORPORATION
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: 10/6/1970
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
