Ian R. Mellon
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.
Ian Robert Mellon was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 1980. Ian had worked at 7 firms and has passed the Series 63, Series 37, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2010 - October 30, 2013
VENTUM FINANCIAL (US) CORP.
February 5, 2009 - January 14, 2010
BLV SECURITIES
April 12, 2006 - April 3, 2008
RICHARDSON GMP (USA) CORP.
January 29, 1992 - April 15, 1996
SCOTIA CAPITAL (USA) INC.
October 14, 1988 - February 14, 1991
WACHOVIA SECURITIES, INC.
August 3, 1984 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
October 22, 1980 - August 1, 1984
GORDON CAPITAL 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
Series 37
Date: 4/11/2006
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
VENTUM FINANCIAL (US) CORP.
CRD#: 127404 / SEC#: , 8-65995
Contact information
FINRA licenses (21 States and Territories)
Documents
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.
