Mitchell A. Weisberg
Professional summary
Mitchell Aaron Weisberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitchell is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Mitchell had worked at 12 firms, which includes LH ROSS & COMPANY INC., PLATINUM INVESTMENT CORP., ITRADEDIRECT.COM CORP, RUMSON CAPITAL LLC, APEX CLEARING CORPORATION, TELARO SECURITIES INC., PREFERRED SECURITIES GROUP INC., BARRON CHASE SECURITIES INC., GLOBAL FINANCIAL GROUP INC., MEYERS POLLOCK ROBBINS INC., BRAUER & ASSOCIATES INC., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2003 - June 25, 2004
LH ROSS & COMPANY, INC.
July 2, 2002 - January 27, 2003
PLATINUM INVESTMENT CORP.
February 25, 2002 - July 22, 2002
ITRADEDIRECT.COM CORP
January 3, 2001 - November 26, 2001
RUMSON CAPITAL, LLC
May 26, 2000 - October 31, 2000
APEX CLEARING CORPORATION
August 27, 1999 - September 29, 1999
TELARO SECURITIES, INC.
June 4, 1998 - August 24, 1999
PREFERRED SECURITIES GROUP, INC.
March 2, 1998 - August 3, 1998
BARRON CHASE SECURITIES, INC.
January 13, 1998 - February 26, 1998
GLOBAL FINANCIAL GROUP, INC.
November 18, 1997 - December 1, 1997
MEYERS POLLOCK ROBBINS, INC.
July 22, 1997 - November 3, 1997
BRAUER & ASSOCIATES, INC.
May 9, 1997 - July 30, 1997
GLOBAL FINANCIAL GROUP, INC.
November 26, 1996 - June 19, 1997
INVESTORS ASSOCIATES, 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
Series 55
Date: 8/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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