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Detailed Report
MELVIN LEONARD WIMMER JR
LEE WIMMER, MELVIN LEONARD WIMMER
CRD#: 1888431
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20042006200820102012201420162018IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2003 - 2006 (3 years)
Disclosure(s)
View By:
8/9/2018
Regulatory
Final
3/16/2018
Criminal
Final Disposition
6/18/2007
Regulatory
Final
Previous Registration(s)
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IA
 01/06/2003 - 09/26/2006 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) GREENWOOD, SC
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.