Mitesh Shere
Professional summary
Mitesh Shere was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitesh is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Mitesh had worked at 7 firms, which includes HALCYON CABOT PARTNERS LTD., NEWBRIDGE SECURITIES CORPORATION, CHICAGO INVESTMENT GROUP LLC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2012 - October 7, 2015
HALCYON CABOT PARTNERS, LTD.
February 13, 2009 - August 6, 2012
NEWBRIDGE SECURITIES CORPORATION
December 4, 2002 - February 25, 2009
CHICAGO INVESTMENT GROUP, LLC
June 20, 2002 - August 22, 2002
LADENBURG THALMANN & CO. INC.
January 2, 2002 - June 27, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 6, 2001 - January 2, 2002
LADENBURG THALMANN & CO. INC.
February 4, 2000 - March 13, 2001
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1996 - February 1, 2000
LADENBURG THALMANN & CO. INC.
February 12, 1993 - May 2, 1996
CIBC WORLD MARKETS CORP.
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
HALCYON CABOT PARTNERS, LTD.
CRD#: 32664 / SEC#: , 8-28702
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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