Jeffrey Mitchell
Professional summary
Jeffrey Mitchell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Jeffrey had worked at 7 firms, which includes DIME SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, COMMONWEALTH ASSOCIATES, ESSEX NATIONAL SECURITIES LLC, LASALLE FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1999 - December 9, 1999
DIME SECURITIES, INC.
March 1, 1997 - March 12, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 28, 1996 - March 6, 1997
COMMONWEALTH ASSOCIATES
September 23, 1993 - July 31, 1996
ESSEX NATIONAL SECURITIES, LLC
August 3, 1993 - July 31, 1996
LASALLE FINANCIAL SERVICES, INC.
October 27, 1992 - July 27, 1993
LEHMAN BROTHERS INC.
March 19, 1992 - September 29, 1992
MORGAN STANLEY DW 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
Current Firm
DIME SECURITIES, INC.
CRD#: 28955 / SEC#: , 8-44042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE DIME AGENCY, INC | OWNER | |
| BERGMAN, SUSAN BRISCHLER | GP | 3077252 |
| CALVO, JOEL | PRESIDENT | 857420 |
| CIANCARELLI, STEPHEN VINCENT | CHIEF FINANCIAL OFFICER | 2225753 |
| CURTH, GEORGE WILLIAM | VICE PRESIDENT & GROUP SALES MANAGER/GP | 1407456 |
| GAMBARO, ANTHONY JOSEPH | OPERATIONS MANAGER/GP | 217167 |
| GOLDSMITH, STACY MARI | VP, REGIONAL SALES MANAGER, GP,MP | 1416323 |
| HEINES, BRUCE GARY | REGIONAL SALES MANAGER/GP | 1828701 |
| HENSELMAN, HANS DIETER | CROP, SROP | 2320564 |
| NEWMAN, JOHN FRANKLIN | VICE PRESIDENT/COMPLIANCE OFFICER/PG/MP/GP | 1751371 |
| PASTER, MARIA | ROP/GP/PG | 1312837 |
| RUSSELL, SHAVAUGHN ALETHIA | GP,PG | 2000748 |
| SIMONSON, MARY KATHRYN | CHIEF COMPLIANCE OFFICER | 1297398 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
