Mitchell I. Weiser
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.
Mitchell Ira Weiser was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1983. Mitchell had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2014 - February 19, 2015
FIRST LIBERTIES FINANCIAL
August 16, 2012 - July 18, 2013
BIC DISTRIBUTORS, LLC
December 5, 2011 - August 10, 2012
LEGEND EQUITIES CORPORATION
October 11, 1996 - May 16, 2005
GOLDMAN SACHS & CO. LLC
April 19, 1984 - October 11, 1996
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 26, 1983 - April 3, 1984
WEH FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
