Mitchell H. Fillet
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 Harris Fillet was a registered financial advisor .
Mitchell is a previously registered financial advisor and started their career in finance in 1981. Mitchell had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 3, Series 000, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2006 - December 31, 2009
INNER HARBOR ASSET MANAGEMENT
August 3, 2004 - March 4, 2009
THE RIDERWOOD GROUP INCORPORATED
January 19, 1999 - August 20, 1999
COWEN AND COMPANY
January 14, 1992 - January 29, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 8, 1981 - January 9, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 000
Date: 4/13/1974
General Securities Principal ExaminationSeries 1
Date: 6/12/1972
Registered Representative ExaminationSeries 8
Date: 1/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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