Melvin F. Factor
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.
Melvin Frederick Factor was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1981. Melvin had worked at 8 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
January 2, 1990 - February 27, 1990
SPENCER-WINSTON SECURITIES CORPORATION
August 9, 1985 - February 17, 1988
P.B. BLANDO & COMPANY, INCORPORATED
March 30, 1984 - March 30, 1984
C.W. RHOADES & CO., INC.
July 30, 1982 - February 2, 1983
OPPENHEIMER & CO. INC.
May 24, 1982 - June 15, 1982
BRODIS SECURITIES INCORPORATED
February 19, 1982 - April 5, 1982
M. H. WALTER & CO., INCORPORATED
November 6, 1981 - January 26, 1982
ROONEY, PACE INC.
March 23, 1981 - December 28, 1983
J. W. WELLER & CO., 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
SPENCER-WINSTON SECURITIES CORPORATION
CRD#: 8300 / SEC#: , 8-24995
Contact information
FINRA licenses (9 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 5 |
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.
