Clifford Douglas Mitman
Professional Summary
Clifford Douglas Mitman, who also goes by Doug Mitman, was a registered financial advisor. Clifford was a previously registered financial professional and started their career in finance 2000 - 2023. Clifford had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Doug Mitman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
833 E. Michigan Street, Suite 1420, Milwaukee, WI 53202Mailing Address
833 E. Michigan Street, Suite 1420, Milwaukee, WI 53202Phone Number
(414) 278-1120Established
Wisconsin since 06/28/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Nov 2010About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2011About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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