Melville F. Spindle
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.
Melville Francis Spindle JR, who also goes by Mel Spindle, was a registered financial professional .
Melville is a previously registered financial professional and started their career in finance in 1972. Melville had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 53 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
August 18, 2006 - March 15, 2017
NEXT FINANCIAL GROUP, INC.
October 31, 2005 - August 28, 2006
OSAIC SERVICES, INC.
September 14, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 19, 1995 - August 16, 1996
IFG NETWORK SECURITIES, INC.
October 4, 1988 - December 31, 1995
COMPREHENSIVE FINANCIAL SERVICES, INC.
April 4, 1985 - October 14, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
December 1, 1983 - April 15, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
December 27, 1972 - November 21, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
December 27, 1972 - November 21, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
December 27, 1972 - November 21, 1983
IDS LIFE INSURANCE COMPANY
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: 12/20/1972
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
