Melissa D. Slater
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.
Melissa Dawn Slater, who also goes by Melissa Allen, Melissa Slater, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 2024. Melissa had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2026 - June 5, 2026
FROST BROKERAGE SERVICES, INC.
April 2, 2026 - June 5, 2026
FROST INVESTMENT SERVICES
August 27, 2024 - October 5, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 3, 2024 - October 5, 2024
FIDELITY BROKERAGE SERVICES LLC
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 7TO
Date: 7/3/2024
General Securities Representative ExaminationCurrent Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
