Mitchel S. Guttenberg
Professional summary
Mitchel Scott Guttenberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitchel is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Mitchel had worked at 8 firms, which includes UBS SECURITIES LLC, GLEACHER & COMPANY SECURITIES INC., AXIOM CAPITAL MANAGEMENT INC., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., GREENTREE SECURITIES CORP., SHEFFIELD INVESTMENTS INC., KUHNS BROTHERS & LAIDLAW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 1999 - March 30, 2007
UBS SECURITIES LLC
February 7, 1997 - August 20, 1999
GLEACHER & COMPANY SECURITIES, INC.
March 23, 1995 - February 12, 1997
AXIOM CAPITAL MANAGEMENT, INC.
February 8, 1991 - March 2, 1995
J.P. MORGAN SECURITIES LLC
April 28, 1987 - February 20, 1991
LEHMAN BROTHERS INC.
October 22, 1986 - November 5, 1986
GREENTREE SECURITIES CORP.
October 22, 1986 - November 19, 1986
SHEFFIELD INVESTMENTS, INC.
October 22, 1986 - May 8, 1987
KUHNS BROTHERS & LAIDLAW, 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
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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