Melvyn E. Panzer
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.
Melvyn Eugene Panzer, who also goes by Melvyn E Panzer, was a registered financial professional .
Melvyn is a previously registered financial professional and started their career in finance in 1980. Melvyn had worked at 5 firms and has passed the Series 63, Series 7, Series 14, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1990 - January 2, 2003
PRENTICE SECURITIES, INCORPORATED
May 4, 1987 - February 18, 1988
KRIEGER, WUNDERLICH, FIALKOV, SCHEINMAN & CO., INC.
March 19, 1987 - October 22, 1991
DOMINICK & DICKERMAN LLC
October 22, 1984 - April 27, 1987
RICHMOND FINANCIAL CORPORATION
January 19, 1980 - October 3, 1988
DOMIK CORP.
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
Series 12
Date: 6/6/1980
NYSE Branch Manager ExaminationCurrent Firm
PRENTICE SECURITIES, INCORPORATED
CRD#: 22897 / SEC#: , 8-40036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIERNEY, MICHAEL EDWARD | PRESIDENT/CEO/DIRECTOR | 804928 |
| MULLINS, NANCY | SHAREHOLDER | 342604 |
| DOMINICK & DOMINICK, INCORPORATED | SHAREHOLDER | |
| AVALON INVESTMENT ASSOCIATES INC | SHAREHOLDER | |
| BALUYO, CATHERINE ANN | SECRETARY | 2188043 |
| BOSWELL, JOHN DOUGLAS | SHAREHOLDER/COMPLIANCE DIR/CFO | 1031653 |
| BURKE, BARBARA JANE | SHAREHOLDER | 1242140 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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