Melanie R. Glicksman
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.
Melanie Reid Glicksman, who also goes by Melanie Reid Lambert, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 2001. Melanie had worked at 4 firms and has passed the Series 65, Series 63, Series 87, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - December 4, 2013
ULLICO INVESTMENT COMPANY, LLC
June 11, 2007 - July 6, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 14, 2005 - January 31, 2007
WILMINGTON TRUST INVESTMENT MANAGEMENT
December 19, 2001 - February 24, 2006
WILMINGTON BROKERAGE SERVICES 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
Current Firm
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
Red Flags
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