AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MU

Melissa A. Umans

TMX ALPHA US
New York, NY 10281
Some features on this profile are disabled
CRD#: 5171722
MU

Professional summary

Melissa Ann Umans, who also goes by Melissa A Foti, Melissa Foti, Melissa Umans, is a registered financial professional currently at TMX ALPHA US, LLC located in New York, New York.

Melissa is registered as a RR (Registered Representative) and started their career in finance in 2011. Melissa has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa A Foti | Melissa Foti | Melissa Umans

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melissa Ann Umans'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®
None

Experience

Current

November 8, 2024 - Present

TMX ALPHA US, LLC

Office #1: 225 Liberty St, Suite 2310, New York, NY 10281
BD
CRD#: 329008
New York, NY
Past

September 9, 2019 - May 26, 2023

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 14, 2012 - March 7, 2013

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

November 29, 2011 - March 7, 2013

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
New Jersey
(11/8/2024)
RR
New York
(11/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/13/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TMX ALPHA US, LLC
TMX ALPHA US, LLC | TSX ALPHA U.S., INC.

CRD#: 329008 / SEC#: , 8-71182

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
225 Liberty St, Suite 2310, New York, NY 10281
Mailing Address
225 Liberty St, Suite 2310, New York, NY 10281
Phone number
(332) 900-6690
Established
Delaware since 11/01/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
TMX U.S. HOLDINGS, INC.SHAREHOLDER
CHEN, DENNO MIN-WEICHIEF COMPLIANCE OFFICER8012832
DISPIGNA, RALPH JOHNDIRECTOR, HEAD OF SALES6507539
FREDERICK, CHARLESPRESIDENT3272244
RICHMOND, LAURE ECFO, FINOP5115429

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.

Company Information

TMX ALPHA US, LLC

CRD#: 329008New York, NY 10281

TRUST BUT VERIFY

Monitor Melissa Umans

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.