Matthew D. 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.
Matthew Donald Mitchell was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1985. Matthew had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 1999 - August 17, 2000
GRUNTAL & CO., L.L.C.
July 16, 1998 - May 21, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 5, 1993 - June 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1990 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
November 20, 1987 - April 9, 1990
CIBC WORLD MARKETS CORP.
October 16, 1987 - November 16, 1987
CITICORP SCRIMGEOUR VICKERS INTERNATIONAL, INC.
June 27, 1985 - October 9, 1987
CITIGROUP GLOBAL MARKETS 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
Series 8
Date: 12/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| 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.
