Mitchell V. Izumi
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.
Mitchell Vincent Izumi, who also goes by Mitchell VIncent Izumi, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1990. Mitchell had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2021 - September 17, 2021
EMPOWER FINANCIAL SERVICES, INC.
January 2, 2020 - March 24, 2020
VISION 4 FUND DISTRIBUTORS
October 26, 2016 - June 6, 2018
FORWARD MANAGEMENT, LLC
September 7, 2016 - June 4, 2018
ALPS DISTRIBUTORS, INC.
July 20, 2015 - August 4, 2016
IPI WEALTH MANAGEMENT, INC.
July 20, 2015 - August 4, 2016
INVESTMENT PLANNERS, INC.
August 2, 2011 - December 19, 2013
VIRTUS CAPITAL ADVISERS, LLC
July 28, 2011 - December 19, 2013
FORESIDE ASSOCIATES, LLC
June 27, 2011 - July 26, 2011
FUNDS DISTRIBUTOR, LLC
October 5, 2009 - June 20, 2011
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
May 29, 2003 - May 28, 2009
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
May 1, 2003 - May 28, 2009
DWS DISTRIBUTORS, INC.
August 14, 1999 - December 20, 2001
UBS FINANCIAL SERVICES INC.
August 19, 1994 - January 29, 1997
FINACOR VENDOME INC.
September 13, 1993 - July 11, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 4, 1993 - February 10, 1993
HARRIS NESBITT CORP.
December 17, 1990 - January 4, 1993
HARRIS GOVERNMENT 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
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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.
