Melanie A. Sureau
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 Ann Sureau, who also goes by Melanie Ann Finn, Melanie Finn, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 2008. Melanie had worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2010 - December 10, 2014
FTI CAPITAL ADVISORS, LLC
August 19, 2008 - January 8, 2009
DEUTSCHE BANK SECURITIES 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
Current Firm
FTI CAPITAL ADVISORS, LLC
CRD#: 123434 / SEC#: , 8-65587
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
