Mitchell P. Bartlett
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 Palmer Bartlett was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1992. Mitchell had worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2008 - August 1, 2016
CRAIG-HALLUM CAPITAL GROUP LLC
April 6, 1998 - May 4, 2000
RBC CAPITAL MARKETS, LLC
November 16, 1992 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
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
Series 62
Date: 11/12/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
