Mitchell P. Conlon
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 Peter Conlon, who also goes by Mitch Peter Conlon, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1984. Mitchell had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
May 7, 2019 - April 18, 2023
EP WEALTH ADVISORS
January 5, 2005 - May 31, 2019
CONLON DART WEALTH MANAGEMENT
June 22, 1994 - December 31, 2004
RENAISSANCE ASSET ADVISORS LTD
November 30, 1992 - January 9, 1998
RENAISSANCE FINANCIAL SECURITIES CORP.
October 11, 1989 - April 27, 1990
COLONIAL PENN DISTRIBUTORS CORP.
December 14, 1987 - December 2, 1992
ROBERT TODD FINANCIAL CORP.
September 7, 1984 - December 23, 1987
GLOBAL CAPITAL SECURITIES, INC.
February 23, 1984 - August 29, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
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.
