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Mitchell M. Maynard

Some features on this profile are disabled
CRD#: 2026724
MM

Professional summary

Mitchell Mark Maynard was barred by the SEC 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 1990. Prior to being barred, Mitchell had worked at 11 firms, which includes AMERICAN PACIFIC SECURITIES INC., LIGHTHOUSE CAPITAL CORPORATION, INCAP SECURITIES INC., SECURITIES SERVICE NETWORK LLC, KEOGLER MORGAN & COMPANY INC., THE INVESTMENT CENTER INC., NEW ENGLAND SECURITIES, HORNOR TOWNSEND & KENT LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., THE STUART-JAMES COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 25, 2000 - August 28, 2001

AMERICAN PACIFIC SECURITIES, INC.

BD
CRD#: 2532
SAN CLEMENTE, CA
Past

May 9, 2000 - July 24, 2000

LIGHTHOUSE CAPITAL CORPORATION

BD
CRD#: 41812
MONTEREY, CA
Past

June 23, 1999 - December 7, 1999

INCAP SECURITIES, INC.

BD
CRD#: 25401
BALTIMORE, MD
Past

August 8, 1996 - November 16, 1998

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

November 17, 1993 - August 19, 1996

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

April 14, 1993 - October 11, 1993

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

April 21, 1992 - December 16, 1992

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

May 18, 1991 - January 15, 1992

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

August 1, 1990 - February 27, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

August 1, 1990 - February 27, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 23, 1990 - March 29, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/24/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/25/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/1993
General Securities Principal Examination

Current Firm

AP
AMERICAN PACIFIC SECURITIES, INC.
AMERICAN PACIFIC SECURITIES, INC. | SY LEAVITT COMPANY, INC. | SY LEAVITT & COMPANY

CRD#: 2532 / SEC#: , 8-4763

BD
Terminated by SEC on 07/02/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/01/1997
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NEW HAVEN CAPITAL, INC.CALIFORNIA CORPORATION - HOLDING COMPANY
JOY, CHARLISEFINOP2765340
SCHURMANN, WILLIAM JOSEPHPRESIDENT, ASSISTANT COMPLIANCE OFFICER807536
YADRON, ROBERTCOMPLIANCE OFFICER473869

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

AMERICAN PACIFIC SECURITIES, INC.

CRD#: 2532

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