Ronald E. 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.
Ronald Edward Mitchell, who also goes by Ron E. Mitchell, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 3, Series 53 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
January 30, 2021 - April 21, 2021
MEMPHIS CAPITAL
April 20, 2011 - October 19, 2015
BMO CAPITAL MARKETS GKST INC.
January 8, 2002 - April 13, 2011
AUSTIN ATLANTIC CAPITAL INC.
November 12, 1992 - December 4, 1996
COAST PARTNERS FINANCIAL CORPORATION
August 27, 1991 - October 19, 1992
NTB FINANCIAL CORPORATION
October 20, 1987 - July 29, 1991
PACIFIC SECURITIES, 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 7TO
Date: 1/29/2021
General Securities Representative ExaminationCurrent Firm
MEMPHIS CAPITAL
CRD#: 8564 / SEC#: , 8-34927
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANOVER SECURITIES, LLC | OWNER | |
| MARY WELLS QTIP TRUST / MARY LOUISE NAKAE (WELLS) TRUSTEE | OWNER | |
| GOODWIN, CASEY DOUGLAS | PRESIDENT/CEO | 6808410 |
| HANOVER, JOHN DAVID | GENERAL COUNSEL | 6011724 |
| NAKAE, MARY LOUISE | OWNER/TRUSTEE | 1923430 |
| PARATORE, JACK ANTHONY | CCO | 356248 |
| RODRIGUEZ, AARON NETZAHUALCOYOTL | FINOP & CFO | 5421965 |
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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