Mitchell R. Hauser
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 Robert Hauser was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1985. Mitchell had worked at 9 firms and has passed the Series 63, SIE, Series 82, Series 16 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
January 8, 2021 - March 30, 2023
PICKWICK CAPITAL PARTNERS, LLC
October 3, 2017 - January 11, 2021
CORPORATE FUEL SECURITIES LLC
July 17, 2013 - April 4, 2018
KARBONE CAPITAL MARKETS, LLC
October 3, 2012 - June 24, 2013
CATO CAPITAL, LLC
November 14, 1989 - October 10, 1990
NSR DISTRIBUTORS, INC.
June 1, 1988 - September 19, 1989
INTESA SANPAOLO IMI SECURITIES CORP.
July 24, 1985 - February 4, 1985
MCKINLEY ALLSOPP, INC.
July 5, 1985 - July 24, 1985
DAVID ALLSOPP & ASSOCIATES, INC.
April 23, 1985 - May 1, 1986
ABN AMRO SECURITIES 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
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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