Robert J. Mitchell
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.
Robert Joseph Mitchell, who also goes by Robert J Mitchell, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - March 12, 2002
SOURCE CAPITAL GROUP, INC.
November 20, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
August 8, 2001 - November 21, 2001
FINANCIAL WEST GROUP
March 21, 2001 - August 16, 2001
WOLFF INVESTMENT GROUP INCORPORATED
December 8, 1999 - March 19, 2001
MILLENNIUM SECURITIES CORP.
September 9, 1999 - December 9, 1999
SEABOARD SECURITIES, INC.
January 4, 1999 - June 30, 1999
J. BANKS COMPANY
May 19, 1998 - December 31, 1998
MOMENTUM INDEPENDENT NETWORK INC.
April 7, 1998 - April 20, 1998
MORGAN GRANT CAPITAL CORP.
December 23, 1997 - March 20, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
October 27, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
August 29, 1997 - November 13, 1997
CENTEX SECURITIES, INCORPORATED
June 16, 1997 - July 30, 1997
BRIARWOOD INVESTMENT COUNSEL
April 8, 1997 - July 2, 1997
CHURCHILL SECURITIES, INC.
January 23, 1997 - April 4, 1997
PARAGON CAPITAL MARKETS, 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
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
