Richard L. Mitchell
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.
Richard Laken Mitchell III, who also goes by R Laken, Richard Laken III Mitchell, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 3 firms and has passed the Series 63, Series 6, Series 22 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
December 14, 1990 - December 10, 2012
SOVEREIGN-AMERICAN SECURITIES, INC.
September 25, 1984 - March 1, 1990
SOVEREIGN-AMERICAN SECURITIES, INC.
October 28, 1982 - August 8, 1984
COMMONWEALTH EQUITY SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
SOVEREIGN-AMERICAN SECURITIES, INC.
CRD#: 21727 / SEC#: , 8-39203
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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