Pamela W. 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.
Pamela Wheeler Mitchell, who also goes by Pamela Grant Mitchell, Pamela Mitchell, Pamela Grant Wheeler, Pamela Wheeler, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1986. Pamela had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2014 - October 29, 2014
HARPSWELL CAPITAL ADVISORS, LLC
August 5, 2013 - June 17, 2014
HIGHTOWER SECURITIES, LLC
June 14, 2013 - June 17, 2014
HIGHTOWER ADVISORS, LLC
October 3, 2012 - January 27, 2014
ANTON LEMIEUX FINANCIAL GROUP
October 3, 1988 - September 28, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 19, 1986 - October 4, 1988
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
HARPSWELL CAPITAL ADVISORS, LLC
CRD#: 168996 / SEC#: 801-110825
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 5
Date: 4/7/1986
Interest Rate Options ExaminationCurrent Firm
HARPSWELL CAPITAL ADVISORS, LLC
CRD#: 168996 / SEC#: 801-110825
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 497,419,486 |
Red Flags
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