Mitchell H. Bornstein
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 Howard Bornstein was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1996. Mitchell had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2018 - November 6, 2020
CETERA INVESTMENT ADVISERS LLC
March 26, 2018 - November 6, 2020
CETERA INVESTMENT SERVICES LLC
April 28, 2016 - July 26, 2017
INVEST FINANCIAL CORPORATION
April 25, 2016 - July 26, 2017
INVEST FINANCIAL CORPORATION
September 6, 2013 - April 4, 2016
SANTANDER SECURITIES LLC
August 29, 2013 - April 4, 2016
SANTANDER SECURITIES LLC
June 16, 2006 - January 10, 2013
HSBC SECURITIES (USA) INC.
April 1, 2005 - January 10, 2013
HSBC SECURITIES (USA) INC.
November 9, 2004 - March 10, 2005
CITICORP INVESTMENT SERVICES
July 4, 2003 - March 10, 2005
CITICORP INVESTMENT SERVICES
March 2, 2001 - July 21, 2003
UBS FINANCIAL SERVICES INC.
February 4, 1998 - March 6, 2001
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1996 - December 15, 1997
HFC CAPITAL CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
