Melvin R. Gault
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 Randall Gault was a registered financial professional .
Melvin is a previously registered financial professional and started their career in finance in 1977. Melvin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2008 - July 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2008 - July 11, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - February 26, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - February 26, 2008
MORGAN STANLEY & CO. LLC
October 2, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
July 6, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
September 11, 1980 - May 11, 1999
ICG SECURITIES LTD.
November 7, 1978 - October 15, 1980
AMERICAN INVESTORS COMPANY
August 24, 1977 - December 7, 1978
EQUITEC SECURITIES COMPANY
July 12, 1977 - August 27, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
July 12, 1977 - August 27, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
July 12, 1977 - August 27, 1977
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 1
Date: 7/7/1977
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
