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Arthur Bernard Mellin

CRD# 821638·Registered 1976 - 2017
Previously Registered: Being a previously registered professional could mean that Arthur 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.

Professional Summary

Arthur Bernard Mellin was a registered financial advisor. Arthur was a previously registered financial professional and started their career in finance 1976 - 2017. Arthur had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, PC, Series 7, Series 53, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

50 years in the financial services industry

Current & Past Employments

MELLIN ASSET MANAGEMENT, INC.·CRD# 111884
RIA
Wayne, IL
June 21, 2002 - March 9, 2017
MELLIN SECURITIES, INC.·CRD# 30106
BD
Wayne, IL
January 14, 1993 - December 31, 2016
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
May 12, 1989 - February 3, 1993
HAMBRECHT & QUIST LLC·CRD# 940
BD
San Francisco, CA
October 30, 1987 - May 22, 1989
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
December 10, 1979 - September 11, 1987
BLUNT ELLIS & LOEWI INCORPORATED·CRD# 7580
BD
April 4, 1978 - January 7, 1980
BLUNT ELLIS & SIMMONS INCORPORATED·CRD# 98
BD
May 3, 1976 - April 4, 1978

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Current Firm

MA
MELLIN ASSET MANAGEMENT, INC.

MELLIN ASSET MANAGEMENT, INC.

CRD#: 111884 / SEC#: 801-57865

Contact Information

Main Address

Wayne, IL

Documents

Latest Form ADV

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1979About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2003

PC — AMEX Put and Call Exam

Passed Jun 1989

Series 7 — General Securities Representative Examination

Passed Apr 1976About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1992About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1992About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed May 1992About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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