Stephen W. 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.
Stephen Wilson Mitchell was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - April 7, 2014
ASPEN RIVER SECURITIES, LLC
April 19, 2004 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2003 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 1998 - November 29, 2001
FIDELITY DISTRIBUTORS CORPORATION
March 13, 1997 - November 29, 2001
FIDELITY BROKERAGE SERVICES LLC
January 15, 1995 - July 27, 1998
FIDELITY DISTRIBUTORS CORPORATION
April 12, 1990 - December 31, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
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Exams
Current Firm
ASPEN RIVER SECURITIES, LLC
CRD#: 153947 / SEC#: , 8-68595
Contact information
Documents
Red Flags
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