Mitchell Weinstein
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 Weinstein was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1994. Mitchell had worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2015 - October 29, 2025
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
August 2, 2006 - October 23, 2015
HSBC SECURITIES (USA) INC.
August 12, 2003 - July 17, 2006
MORGAN STANLEY & CO. LLC
April 12, 1999 - August 15, 2003
UBS SECURITIES LLC
April 22, 1998 - March 18, 1999
CREDIT SUISSE SECURITIES (USA) LLC
January 1, 1997 - April 13, 1998
UBS SECURITIES LLC
February 25, 1994 - December 13, 1996
DAIWA CAPITAL MARKETS AMERICA 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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