Carl B. Mischka
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.
Carl Benedict Mischka III, who also goes by Carl Benedict Mischka, Tre Mischka, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1996. Carl had worked at 4 firms and has passed the Series 63, SIE 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
November 8, 2016 - January 3, 2018
SFI CAPITAL GROUP, LLC
April 14, 2008 - November 21, 2014
VETUS SECURITIES LLC
August 21, 1997 - April 10, 2008
ROBERT W. BAIRD & CO. INCORPORATED
January 11, 1996 - September 3, 1997
COMMUNICATIONS EQUITY ASSOCIATES, LLC
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
SFI CAPITAL GROUP, LLC
CRD#: 141979 / SEC#: , 8-67421
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACHILL BD, LLC | DIRECT OWNER | |
| DORSEY, JOHN WILLIAM | CEO, PRESIDENT, CCO, AMLCO, EXECUTIVE REPRESENTATIVE | 2409227 |
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.
