Melvin J. Payne
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 James Payne JR., who also goes by Mel Payne, Melvin J Payne Jr., was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 2011. Melvin had worked at 7 firms and has passed the Series 63, SIE 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
March 22, 2016 - November 23, 2016
PHX FINANCIAL, INC.
June 3, 2015 - September 25, 2015
GARDEN STATE SECURITIES, INC.
July 3, 2014 - May 27, 2015
SW FINANCIAL
August 26, 2013 - July 7, 2014
AEGIS CAPITAL CORP.
July 15, 2013 - August 29, 2013
ROCKWELL SECURITIES LLC
June 21, 2012 - June 7, 2013
JOHN THOMAS FINANCIAL
October 17, 2011 - July 16, 2012
EKN FINANCIAL SERVICES INC.
February 16, 2011 - October 20, 2011
JOHN THOMAS FINANCIAL
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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
