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Mitchell Brian Dow

CRD# 2355743·Registered 1993 - 1996
Barred: Mitchell Brian Dow was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Mitchell Brian Dow, who also goes by Mitchell Dow Dow, was a registered financial advisor. Mitchell was a previously registered financial professional and started their career in finance 1993 - 1996. Mitchell had worked at 2 firms and has passed the Series 63 and Series 15 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mitchell Dow Dow

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

CURRENCY TRADING INTERNATIONAL, INC.·CRD# 35299
BD
Newport Beach, CA
October 2, 1995 - January 3, 1996
CURRENCY TRADING INTERNATIONAL, INC.·CRD# 35299
BD
Newport Beach, CA
June 9, 1995 - June 20, 1995
CURRENCY TRADING INTERNATIONAL, INC.·CRD# 35299
BD
Newport Beach, CA
February 15, 1995 - May 22, 1995
K MICHAEL & COMPANY·CRD# 17881
BD
Irvine, CA
May 26, 1993 - July 7, 1993

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Current Firm

CT
CURRENCY TRADING INTERNATIONAL, INC.

CURRENCY TRADING INTERNATIONAL, INC.

CRD#: 35299 / SEC#: 8-46643
BD
Revoked by SEC on 07/21/2004

Contact Information

Established

Florida since 09/30/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1993About the Series 63 exam

Series 15 — Foreign Currency Options Examination

Passed May 1993

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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