Thomas L. Mitchell
Professional summary
Thomas Levaughn Mitchell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Thomas had worked at 5 firms, which includes QUEST CAPITAL STRATEGIES INC., UNITED CALIFORNIA SECURITIES INC., MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1994 - September 13, 1996
QUEST CAPITAL STRATEGIES, INC.
August 12, 1991 - January 4, 1993
UNITED CALIFORNIA SECURITIES, INC.
March 8, 1991 - July 18, 1991
MORGAN STANLEY DW INC.
October 24, 1989 - March 25, 1991
LEHMAN BROTHERS INC.
May 26, 1987 - September 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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