Allen Mitchell
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.
Allen Mitchell, who also goes by Al Mitchell, Allen Tannenbaum, was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1984. Allen had worked at 8 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1992 - March 10, 1993
GIBRALTAR SECURITIES, INC.
February 5, 1992 - March 3, 1992
WELLINGTON ASHFORD CAPITAL, INC.
July 9, 1991 - December 9, 1991
LACROIX ALEXANDER FINANCIAL CORP
May 15, 1989 - July 5, 1991
SOUTHARD SECURITIES CORPORATION
July 9, 1988 - August 8, 1988
THUNDERBIRD CAPITAL, INC.
May 27, 1987 - January 1, 1988
SUNSET SECURITIES,INC.
October 22, 1986 - April 29, 1987
TEXAKOMA FINANCIAL, INC.
July 1, 1985 - November 12, 1985
FINANCIAL PLANNERS EQUITY CORPORATION
February 21, 1984 - September 10, 1984
SUNSET SECURITIES,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
GIBRALTAR SECURITIES, INC.
CRD#: 28620 / SEC#: , 8-43888
Contact information
Documents
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.
