Melanie H. Whitney
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 Holly Whitney, who also goes by Melanie H Felman, Melanie Holly Felman, was a registered financial professional .
Melanie is a previously registered financial professional and started their career in finance in 1981. Melanie had worked at 11 firms and has passed the Series 63, SIE 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 1, 2012 - October 8, 2024
DAVID LERNER ASSOCIATES, INC.
June 9, 2010 - July 27, 2011
OSAIC FA, INC.
June 9, 2010 - May 1, 2012
OSAIC FA, INC.
January 5, 2010 - March 4, 2010
CHARLES SCHWAB & CO., INC.
January 4, 2010 - March 4, 2010
CHARLES SCHWAB & CO., INC.
August 4, 2008 - October 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 9, 1992 - March 23, 1992
GAIN SECURITIES
September 4, 1990 - April 10, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 29, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
June 9, 1988 - August 1, 1989
LEBENTHAL & CO., INC.
April 1, 1985 - June 1, 1988
REICH & CO., INC.
August 9, 1984 - March 15, 1985
CIBC WOOD GUNDY SECURITIES CORP.
September 27, 1983 - September 28, 1984
BECKER PARIBAS INCORPORATED
January 19, 1981 - August 29, 1983
E. F. HUTTON & COMPANY 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
