Jeffrey R. Mitchell
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.
Jeffrey Robert Mitchell, who also goes by Jeff Mitchell, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 9 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2018 - March 4, 2020
LIFEMARK SECURITIES CORP.
November 8, 2018 - March 4, 2020
LIFEMARK SECURITIES CORP.
April 8, 2013 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
March 22, 2013 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
July 28, 2010 - December 31, 2012
HAZARD & SIEGEL, INC.
March 25, 2005 - July 15, 2010
FORTUNE FINANCIAL SERVICES, INC.
April 2, 2004 - March 21, 2005
SECURIAN FINANCIAL SERVICES, INC.
September 4, 2002 - February 10, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 4, 2002 - February 10, 2004
MSI FINANCIAL SERVICES, INC.
July 1, 2002 - September 13, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
February 4, 1992 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
