Steven M. Mitchell

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CRD#: 2114236

Professional summary

Steven Mark Mitchell was a registered financial advisor .

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Steven had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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

January 3, 2007 - August 1, 2011

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

LANCASTER, PA

Past

January 2, 2002 - December 31, 2025

PSI CAPITAL MANAGEMENT

RIA

CRD#: 117105

LANCASTER, PA

Past

October 17, 2001 - January 4, 2007

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

MOUNT JOY, PA

Past

September 18, 2001 - December 31, 2006

INVESTACORP, INC.

CRD#: 7684

MOUNT JOY, PA

Past

October 1, 2000 - September 19, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 22, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

May 3, 1999 - February 16, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 14, 1991 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(1/2/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/3/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/18/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SECURITIES SERVICE NETWORK, LLC

SECURITIES SERVICE NETWORK, INC. | SOUTHERN FINANCIAL CONSULTANTS, INC. | SOUTHEASTERN FINANCIAL CONSULTANTS, INC. | SECURITIES SERVICE NETWORK, LLC

CRD#: 13318 / SEC#: , 8-28980

Terminated by SEC on 11/29/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

Tennessee since 02/01/1983

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ADVISOR GROUP HOLDINGS, INC.	SHARE HOLDER
BLANCATO, PHILIP SALVATORE	DIRECTOR	2122221
GIOVANNIELLO, JOSEPH JR	DIRECTOR	3086071
GODBEE, CRYSTAL LEE	VICE PRESIDENT OF OPERATIONS	5629010
KLIMAS, RONALD THOMAS	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2321602
MAAS, JONATHAN ELMER	VICE PRESIDENT, TRADING	2793069
MCKENNA, NINA	SECRETARY	6302448
PATEL, JAYAPRAKASH MOHANBHAI	SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER	2973297
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EXECUTIVE VICE PRESIDENT, DIRECTOR	2627931
WILKINSON, WADE SHANNON	PRESIDENT AND CEO	2312703

Disclosures

Regulatory Event	7
Arbitration	5
Bond	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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PSI CAPITAL MANAGEMENT

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/1999

Series 63

Date: 1/3/1991

Series 7

Date: 9/3/1996

Series 6

Date: 12/18/1990

Current Firm

SECURITIES SERVICE NETWORK, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SECURITIES SERVICE NETWORK, LLC

TRUST BUT VERIFY

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