Robert V. 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.
Robert Vincent Mitchell, who also goes by Bob Mitchell, Mitch Mitchell, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1984. Robert 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
October 16, 2006 - August 21, 2008
INVEST FINANCIAL CORPORATION
October 13, 2006 - August 21, 2008
INVEST FINANCIAL CORPORATION
April 3, 2006 - October 24, 2006
INVESTORS CAPITAL CORP.
April 19, 2004 - October 24, 2006
INVESTORS CAPITAL CORP.
July 23, 2002 - April 20, 2004
CETERA WEALTH SERVICES, LLC
August 19, 1998 - April 20, 2004
CETERA WEALTH SERVICES, LLC
February 27, 1995 - September 3, 1998
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
November 19, 1993 - February 24, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
August 8, 1989 - November 27, 1991
KEOGLER, MORGAN & COMPANY, INC.
August 23, 1985 - September 2, 1988
COLEMAN FINANCIAL SERVICES, INC.
June 21, 1984 - July 29, 1985
FORESTERS FINANCIAL SERVICES, 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
