Sean E. Melcher
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.
Sean Edward Melcher, who also goes by Sean Melcher, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2011. Sean had worked at 6 firms and has passed the Series 66, 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
May 18, 2021 - September 30, 2024
CAIS CAPITAL LLC
February 21, 2018 - May 6, 2021
BLACKSTONE SECURITIES PARTNERS L.P.
July 5, 2017 - February 14, 2018
FORESIDE FUND SERVICES, LLC
December 26, 2013 - June 6, 2017
PGIM INVESTMENTS LLC
December 16, 2013 - June 6, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 3, 2011 - May 22, 2012
SECURIAN FINANCIAL SERVICES, INC.
August 3, 2011 - May 22, 2012
SECURIAN FINANCIAL SERVICES, 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
CAIS CAPITAL LLC
CRD#: 154512 / SEC#: , 8-68646
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL INTEGRATION SYSTEMS LLC | PARENT/OWNER | |
| BROWN, MATTHEW CRAWFORD | CEO/MEMBER/EXECUTIVE REP. | 2160159 |
| COLLINS, MICHAEL PATRICK | CCO | 5366193 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| PARISE, JANICE DRU | FINOP/PFO | 2338583 |
| PREMSELAAR, MARC KLEIN | SENIOR MANAGING DIRECTOR | 5395973 |
| SHANNON, TIMOTHY BRIAN | PRESIDENT | 4461906 |
| WALKER, BRADLEY JAY | SENIOR MANAGING DIRECTOR | 5000838 |
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.
