Gus E. Mitchell
Professional summary
Gus Edward Mitchell, who also goes by Gus E Mitchell IV, Gus E Mitchell, Gus Edward Mitchell Iv, Gus Mitchell, is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in San Diego, California.
Gus is registered as a RR (Registered Representative) and started their career in finance in 1994. Gus has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gus Edward Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2018 - Present
NYLIFE DISTRIBUTORS LLC
March 13, 2017 - April 19, 2017
EDWARD JONES
July 1, 2014 - February 7, 2017
LPL FINANCIAL LLC
April 20, 2011 - July 9, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 17, 2008 - February 3, 2011
CAPITAL BROKERAGE CORPORATION
September 27, 2004 - February 14, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2004 - February 14, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2003 - September 24, 2004
TRUIST INVESTMENT SERVICES, INC.
June 27, 2003 - September 24, 2004
TRUIST INVESTMENT SERVICES, INC.
February 14, 2000 - November 29, 2001
WACHOVIA SECURITIES, INC.
September 25, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
April 17, 1997 - September 17, 1998
CRESTAR SECURITIES CORPORATION
October 18, 1996 - March 31, 1997
CHARLES SCHWAB & CO., INC.
January 9, 1996 - September 27, 1996
BRANCH, CABELL & CO., INC.
November 22, 1995 - January 24, 1996
AMERIPRISE ADVISOR SERVICES, INC.
February 7, 1994 - October 6, 1995
SCOTT & STRINGFELLOW, 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
(11/13/2018)
Exams
FINRA
Current Firm
NYLIFE DISTRIBUTORS LLC
CRD#: 35350 / SEC#: , 8-46655
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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