Maureen B. 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.
Maureen Bridget Mitchell, who also goes by Maureen Bridget Baumer, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1997. Maureen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - October 4, 2016
GE INVESTMENT DISTRIBUTORS, INC
July 21, 2009 - July 1, 2016
GE INVESTMENT DISTRIBUTORS, INC
July 25, 2008 - June 11, 2009
NEXBANK SECURITIES INC
January 1, 2002 - July 28, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
August 24, 1998 - July 8, 2008
J.P. MORGAN SECURITIES LLC
May 8, 1997 - September 16, 1998
DWS DISTRIBUTORS, 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
GE INVESTMENT DISTRIBUTORS, INC
CRD#: 32087 / SEC#: , 8-45710
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GE ASSET MANAGEMENT INCORPORATED | SHAREHOLDER COMMON | 105297 |
| CARROLL, WENDY JEANNE | SECRETARY | 5981481 |
| LAPORTA, JEANNE MARIE | DIRECTOR | 5946908 |
| MITCHELL, MAUREEN BRIDGET | PRESIDENT & DIRECTOR | 2717813 |
| SIMPSON, MATTHEW JULIAN | DIRECTOR | 2638052 |
| STACHE, PAUL GERARD | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, EXECUTIVE REPRESENTATIVE | 1170097 |
| TSANG, EUNICE YUEN I | FINANCIAL & OPERATIONS PRINCIPAL | 2544900 |
| ZAKRZEWSKI, MATTHEW JOSEPH | DIRECTOR | 6249027 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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