Brian R. Mitchell
Professional summary
Brian Robert Mitchell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Brian had worked at 7 firms, which includes AUSTIN SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, LINCOLN FINANCIAL DISTRIBUTORS INC., JSC SECURITIES INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, M V SECURITIES INC. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1986 - April 14, 2005
AUSTIN SECURITIES, INC.
February 28, 1986 - January 20, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 28, 1986 - January 29, 1987
EQUITABLE ADVISORS, LLC
November 6, 1985 - December 16, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 10, 1984 - March 20, 1985
JSC SECURITIES, INC.
April 27, 1984 - October 15, 1984
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 14, 1983 - March 14, 1984
M V SECURITIES, INC. INC.
State Registrations and Notice Filings
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Exams
Current Firm
AUSTIN SECURITIES, INC.
CRD#: 17094 / SEC#: , 8-34743
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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