Melanie A. Carbone
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 Carbone, who also goes by Melanie Anne Carbone, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 1980. Melanie had worked at 12 firms and has passed the Series 63 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
November 20, 2006 - May 2, 2014
BAADER HELVEA INC.
May 7, 2004 - November 21, 2006
EXANE, INC.
January 28, 2000 - May 7, 2004
BNP PARIBAS SECURITIES CORP.
January 5, 1999 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
April 1, 1998 - January 7, 1999
BNP PARIBAS BROKERAGE SERVICES, INC.
December 24, 1996 - January 22, 1998
BARCLAYS CAPITAL INC.
September 30, 1993 - October 15, 1996
DEUTSCHE BANK SECURITIES INC.
June 25, 1991 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
August 23, 1989 - February 25, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 4, 1987 - August 29, 1988
NEW YORK & FOREIGN SECURITIES CORPORATION
March 24, 1982 - April 20, 1987
AMERICAN SECURITIES BD CO., L.P.
April 10, 1980 - February 25, 1982
JSC 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
BAADER HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
Contact information
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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