Mitchell R. Green
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 Richard Green, who also goes by Mitchell Richard Green, Mitchell Green, Mitchell R Green, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1991. Mitchell had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 27, 2021 - February 2, 2023
VANGUARD ADVISERS, INC.
September 24, 2021 - February 2, 2023
VANGUARD MARKETING CORPORATION
May 3, 2021 - May 25, 2021
EQUITABLE ADVISORS, LLC
April 29, 2021 - May 25, 2021
EQUITABLE ADVISORS, LLC
June 20, 2019 - March 29, 2021
MORGAN STANLEY
June 19, 2019 - March 29, 2021
MORGAN STANLEY
August 19, 2015 - June 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2015 - June 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2011 - July 10, 2015
TRUIST INVESTMENT SERVICES, INC.
December 5, 2011 - July 10, 2015
TRUIST INVESTMENT SERVICES, INC.
April 13, 2011 - December 9, 2011
HARRISDIRECT LLC
May 18, 2009 - December 9, 2011
E*TRADE SECURITIES LLC
October 23, 1998 - July 9, 2007
ENTERPRISE FUND DISTRIBUTORS, INC.
September 29, 1997 - September 18, 1998
IFG NETWORK SECURITIES, INC.
June 2, 1994 - September 24, 1996
INVESCO DISTRIBUTORS, INC.
September 26, 1991 - February 4, 1992
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
