Mitchell S. Nordon
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 Scott Nordon, who also goes by Mitch Nordon, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1985. Mitchell had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2017 - October 5, 2018
B. RILEY SECURITIES, INC.
October 9, 2017 - November 30, 2017
B. RILEY & CO., LLC
December 16, 1999 - February 14, 2002
SCHONFELD SECURITIES, LLC
April 7, 1998 - May 26, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
April 12, 1995 - March 2, 1998
NATWEST SECURITIES CORPORATION
November 2, 1992 - February 3, 1995
ROBERT FLEMING INC.
June 5, 1992 - October 15, 1992
AMCO SECURITIES INC.
June 18, 1985 - November 15, 1991
AMSTER & CO.
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
What does exam status mean?
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
