Melvin R. Robinson
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.
Melvin Richard Robinson, who also goes by Dick Robinson, was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1981. Melvin had worked at 11 firms and has passed the Series 63, Series 6, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2000 - June 14, 2001
LADENBURG THALMANN & CO. INC.
January 13, 1999 - March 2, 2000
MORGAN STANLEY DW INC.
July 6, 1998 - October 2, 1998
WIZER FINANCIAL, INC.
July 3, 1997 - December 23, 1997
LADENBURG THALMANN & CO. INC.
January 14, 1997 - July 1, 1997
MESIROW FINANCIAL, INC.
September 13, 1995 - January 9, 1997
LAIDLAW GLOBAL SECURITIES, INC.
November 17, 1992 - September 7, 1995
ADVEST, INC.
December 6, 1991 - November 25, 1992
REICH & CO., INC.
August 2, 1990 - November 29, 1991
DOMINICK & DICKERMAN LLC
January 2, 1990 - July 26, 1990
PRESCOTT, BALL & TURBEN, INC.
May 27, 1988 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
March 23, 1981 - May 19, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
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: 9/11/1961
Registered Representative ExaminationSeries 12
Date: 7/10/1963
NYSE Branch Manager ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
