Melvin H. Stein
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 Howard Stein was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1969. Melvin had worked at 6 firms and has passed the Series 63, Series 5, Series 7, 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
August 22, 1986 - September 30, 1996
J. B. HANAUER & CO.
February 4, 1983 - December 7, 1984
LEHMAN BROTHERS INC.
January 26, 1981 - February 10, 1983
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - January 12, 1981
UBS FINANCIAL SERVICES INC.
May 1, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 14, 1969 - November 18, 1972
PHILIPS, APPEL & WALDEN, 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 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 1
Date: 10/23/1963
Registered Representative ExaminationSeries 00
Date: 11/10/1969
General Securities Principal ExaminationCurrent Firm
J. B. HANAUER & CO.
CRD#: 6958 / SEC#: , 8-18884
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS HOLDINGS (USA) INC. | DIRECT OWNER | |
| BOARDMAN, MATTHEW MILES | DIRECTOR | 843666 |
| MANNA, VIRGINIA ANTONIETTA | CFO | 1128673 |
| PLIFKA, GREG | CHIEF OPERATING OFFICER | 1068803 |
| RINGEL, MARK ELLERY | CHIEF COMPLIANCE OFFICER | 1027629 |
| SCHMIDT, CHRISTOPHER PAUL | CROP/SROP | 1845098 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
| ZUCKER, BARRY HUGH | PRESIDENT & CEO | 500545 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 12 |
| Bond | 1 |
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.
