MS
Melissa A. Smith
ARIEL DISTRIBUTORS
CHICAGO, IL 60601
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CRD#: 4224224
MS
Melissa Anne SmithARIEL DISTRIBUTORS
Professional summary
Melissa Anne Smith, who also goes by Melissa Anne Angela, is a registered financial professional currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois.
Melissa is registered as a RR (Registered Representative) and started their career in finance in 2000. Melissa has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Melissa Anne Angela
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.
CRS (Client Relationship Summary) - BD
Click below to view Melissa Anne Smith's 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®
NoneExperience
Current
October 7, 2015 - Present
ARIEL DISTRIBUTORS, LLC
Office #1: 200 East Randolph Street Suite 2900, Chicago, IL 60601BD
CRD#: 38333
CHICAGO, IL
Past
May 14, 2013 - September 14, 2015
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
January 10, 2005 - April 16, 2013
CALAMOS ADVISORS LLC
RIA
CRD#: 105758
NAPERVILLE, IL
Past
July 18, 2001 - April 16, 2013
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
August 10, 2000 - June 26, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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(10/7/2015)
RR
Alaska(10/7/2015)
RR
Arizona(10/7/2015)
RR
Arkansas(10/7/2015)
RR
California(10/7/2015)
RR
Colorado(10/7/2015)
RR
Connecticut(10/7/2015)
RR
Delaware(10/7/2015)
RR
District of Columbia(10/7/2015)
RR
Florida(10/7/2015)
RR
Georgia(10/7/2015)
RR
Hawaii(10/7/2015)
RR
Idaho(10/7/2015)
RR
Illinois(10/7/2015)
RR
Indiana(10/7/2015)
RR
Iowa(10/7/2015)
RR
Kansas(10/7/2015)
RR
Kentucky(10/7/2015)
RR
Louisiana(10/7/2015)
RR
Maine(10/7/2015)
RR
Maryland(10/7/2015)
RR
Massachusetts(10/7/2015)
RR
Michigan(10/7/2015)
RR
Minnesota(10/7/2015)
RR
Mississippi(10/7/2015)
RR
Missouri(10/7/2015)
RR
Montana(10/7/2015)
RR
Nebraska(10/7/2015)
RR
Nevada(10/7/2015)
RR
New Hampshire(10/7/2015)
RR
New Jersey(10/7/2015)
RR
New Mexico(10/7/2015)
RR
New York(10/7/2015)
RR
North Carolina(10/7/2015)
RR
North Dakota(10/7/2015)
RR
Ohio(10/7/2015)
RR
Oklahoma(10/7/2015)
RR
Oregon(10/7/2015)
RR
Pennsylvania(10/7/2015)
RR
Puerto Rico(10/7/2015)
RR
Rhode Island(10/7/2015)
RR
South Carolina(10/7/2015)
RR
South Dakota(10/7/2015)
RR
Tennessee(10/7/2015)
RR
Texas(10/7/2015)
RR
Utah(10/7/2015)
RR
Vermont(10/7/2015)
RR
Virgin Islands(10/7/2015)
RR
Virginia(10/7/2015)
RR
Washington(10/7/2015)
RR
West Virginia(10/7/2015)
RR
Wisconsin(10/7/2015)
RR
Wyoming(10/7/2015)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AD
ARIEL DISTRIBUTORS, LLC
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC
CRD#: 38333 / SEC#: , 8-48238
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601
Phone number
(312) 726-0140
Established
Delaware since 10/23/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARIEL INVESTMENTS HOLDING COMPANY, LLC | SOLE UNITHOLDER | |
| CALDERON, CARLOS ESTUARDO | SENIOR VICE PRESIDENT, FINANCE | 6864114 |
| CAMPBELL, ROBERT NMN | FINOP, PFO, POO | 1349154 |
| FOX, WENDY DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4870574 |
| ORLOWSKI, BONNIE ELIZABETH | PRESIDENT | 3121598 |
| RODRIGUEZ-AYALA, EMMA LEONOR | GENERAL COUNSEL AND SECRETARY | 6183654 |
| WEBER, ROOPA PATEL | SENIOR VICE PRESIDENT, CHIEF MARKETING OFFICER | 3026056 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
ARIEL DISTRIBUTORS, LLC
CRD#: 38333Chicago, IL 60601TRUST BUT VERIFY
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