Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Melvin is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., with over 30 years of experience in the industry. Diana has a wide range of experience in the financial industry, having previously worked at UBS Financial Services Inc. and Delta Trust Investments, Inc. Diana holds a Series 7, Series 10, Series 3, and Series 63 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
10/16/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CLEARWATER FL)
AR
05/08/2013 - 08/07/2013
UBS FINANCIAL SERVICES INC. (LITTLE ROCK AR)
AR
06/22/2010 - 04/19/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
AR
03/13/2003 - 06/18/2010
UBS FINANCIAL SERVICES INC. (LITTLE ROCK AR)
AR
09/22/1999 - 02/18/2003
DELTA TRUST INVESTMENTS, INC. (LITTLE ROCK AR)
NY
07/31/1993 - 09/23/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/18/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/24/1984 - 02/18/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 12/15/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/2/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/9/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/24/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/5/2015
Series 3 - National Commodity Futures Examination
BC
Issued 5/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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