Steven J. Mitchell
Professional summary
Steven Jay Mitchell was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven Jay Mitchell was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2020 - December 31, 2021
PROCYON INSTITUTIONAL PARTNERS, LLC
July 29, 2020 - February 1, 2022
PROCYON
November 10, 2008 - May 29, 2020
UBS FINANCIAL SERVICES INC.
November 10, 2008 - May 29, 2020
UBS FINANCIAL SERVICES INC.
September 22, 2008 - November 20, 2008
BARCLAYS CAPITAL INC.
June 20, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
April 3, 1991 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
PROCYON INSTITUTIONAL PARTNERS, LLC
CRD#: 288244 / SEC#: 801-110494
Contact information
Red Flags
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