Melissa K. Schlickenmayer
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.
Melissa Kay Schlickenmayer, who also goes by Melissa Kay Krona, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 2006. Melissa had worked at 7 firms and has passed the Series 63, SIE, Series 7 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 31, 2014 - December 22, 2015
CETERA INVESTMENT ADVISERS LLC
January 29, 2014 - January 31, 2014
CETERA INVESTMENT SERVICES LLC
February 7, 2013 - December 22, 2015
CETERA FINANCIAL SPECIALISTS LLC
February 7, 2013 - December 22, 2015
CETERA ADVISORS LLC
February 7, 2013 - December 22, 2015
CETERA WEALTH SERVICES, LLC
July 28, 2009 - November 18, 2009
BANCNORTH INVESTMENT GROUP, INC.
July 28, 2009 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
August 22, 2006 - December 22, 2015
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
