Melissa FutchCRD Number: 1422380
Current Firm: Stifel, Nicolaus & Company, Incorporated
Melissa Futch (CRD# 1422380) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Wilkes-Barre, PA and has over 30 years of experience in the finance industry.
Northeastern Financial Consultants, Inc.
Ameriprise Financial Services, Inc.
|Stifel, Nicolaus & Company, Incorporated||Plains, PA||Sep 2009 - Current||7|
|Ubs Financial Services Inc.||Plains, PA||Jan 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1986|
|S65||NASAA Investment Advisors Law Examination||Jan 2010|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management38,401MILLIONS
Total Number of Accounts115,441ACCOUNTS
Average Account Value$332,650
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV