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JM

John K. Mell

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CRD#: 5898652
JM

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.

John Knisely Mell JR., who also goes by John Knisely Mell, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2012. John had worked at 1 firm and has passed the Series 99 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Knisely Mell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 16, 2012 - February 28, 2014

MLV & CO. LLC

BD
CRD#: 150959
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99
Date: 10/15/2012
Operations Professional Examination

Current Firm

M&
MLV & CO. LLC
MCNICOLL, LEWIS & VLAK LLC | MLV & CO. LLC

CRD#: 150959 / SEC#: , 8-68331

BD
Terminated by SEC on 08/24/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FBR CAPITAL MARKETS HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCFO2229865
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307
MCNICOLL, PATRICECEO3199758

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

MLV & CO. LLC

CRD#: 150959

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