Robert F. Mitlo
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.
Robert Francis Mitlo, who also goes by Bob Mitlo, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 6, Series 24, Series 30 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2016 - March 29, 2017
NATIONAL SECURITIES CORPORATION
April 20, 2010 - December 10, 2012
RIDGEWAY CONGER ADVISORY SERVICES
April 2, 2010 - May 13, 2016
RIDGEWAY & CONGER, INC.
September 23, 2003 - March 29, 2010
GUNNALLEN FINANCIAL, INC
September 23, 2003 - March 29, 2010
GUNNALLEN FINANCIAL, INC
January 4, 1999 - October 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
June 9, 1992 - November 18, 2003
NORTHRIDGE S & A CAPITAL, INC.
November 19, 1989 - December 31, 1994
OSAIC WEALTH, INC.
December 28, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 1, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 1, 1982 - December 23, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 1, 1982 - December 23, 1991
OSAIC FA, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
