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Detailed Report
MEL TSAO
MEL J TSAO, MELVIN J TSAO
CRD#: 4083764
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
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
2007200820092010201120122013IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2010 - 2011 (1 year)IACOMERICA SECURITIES (CRD# 17079)2010 - 2010 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2009 (<1 year)IABEAR, STEARNS & CO. INC. (CRD# 79)2007 - 2008 (<1 year)
Disclosure(s)
View By:
5/8/2012
Regulatory
Final
Previous Registration(s)
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 05/27/2010 - 11/18/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TORRANCE, CA
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 02/26/2010 - 05/18/2010 COMERICA SECURITIES (CRD#:17079) LOS ANGELES, CA
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 04/25/2008 - 03/17/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CENTURY CITY, CA
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 08/07/2007 - 05/05/2008 BEAR, STEARNS & CO. INC. (CRD#:79) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
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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.