Seth 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.
Seth Mitchell, who also goes by Seth M Kosik, Seth Mitchell Kosik, Seth Mitchell, Cfa, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1996. Seth had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2024 - July 24, 2026
T. ROWE PRICE ASSOCIATES, INC.
April 8, 2024 - July 24, 2026
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 13, 2022 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 12, 2022 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 21, 2022 - May 11, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 6, 2022 - May 11, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 16, 2022 - March 14, 2022
EAGLE STRATEGIES LLC
December 22, 2021 - March 14, 2022
NYLIFE SECURITIES LLC
June 3, 2021 - November 24, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 14, 2021 - November 24, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 27, 2002 - November 12, 2003
GOLDMAN SACHS & CO. LLC
July 1, 1998 - October 24, 1998
ABN AMRO SECURITIES LLC
August 30, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
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
Series 7TO
Date: 5/14/2021
General Securities Representative ExaminationCurrent Firm
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
