Kevin 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.
Kevin Mitchell, who also goes by Kevin Dale Mitchell, Kevin Dave Mitchell, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1987. Kevin had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 23, 2013 - January 6, 2016
PEOPLE'S SECURITIES, INC.
August 24, 2010 - April 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2010 - April 21, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - August 9, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - August 9, 2010
CITIGROUP GLOBAL MARKETS INC.
August 20, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 20, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 2, 2002 - June 18, 2004
CITICORP INVESTMENT SERVICES
October 29, 1998 - June 18, 2004
CITICORP INVESTMENT SERVICES
June 1, 1992 - December 11, 1995
CITICORP INVESTMENT SERVICES
October 21, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
January 16, 1987 - August 4, 1987
PRUCO SECURITIES, LLC.
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
PEOPLE'S SECURITIES, INC.
CRD#: 13704 / SEC#: 801-63122, 8-29667
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | PARENT | |
| HUNTER, JEFFREY FRANK | PRESIDENT,PRINCIPAL OPERATIONS OFFICER,DIRECTOR | 1851035 |
| KING, MARIE | CORPORATE SECRETARY | 2970483 |
| MCAFEE, MATTHEW JAMES | CHAIRMAN OF THE BOARD AND DIRECTOR | 5456594 |
| MEDREK, EMILY SUI-LING | PRINCIPAL FINANCIAL OFFICER | 3185486 |
| MURPHY, PATRICK JOHN | DIRECTOR | 7563196 |
| RUMANS, TERRI FOGARTY | CHIEF COMPLIANCE OFFICER | 2574833 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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