Robert J. Mitchell

FM GLOBAL MARKETS

Toronto, Ontario,

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CRD#: 2908382

Professional summary

Robert John Mitchell is a registered financial professional currently at FM GLOBAL MARKETS INC and EMPIRE INVESTMENT INC. located in Flushing, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 15 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert John Mitchell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 6, 2015 - Present

FM GLOBAL MARKETS INC

CRD#: 174843

Toronto, Ontario,

Current

June 8, 2021 - Present

EMPIRE INVESTMENT INC.

Office #1: 136-20 38th Ave. Suite 9e, Flushing, NY 11354

CRD#: 16763

Flushing, NY

Current

February 3, 2025 - Present

EMPIRE STATE FINANCIAL, INC.

Office #1: 20 W. Park Ave. Suite 207, Long Beach, NY 11561

CRD#: 5657

Long Beach, NY

Past

November 9, 2022 - January 9, 2025

STOEVER, GLASS & COMPANY INC.

CRD#: 7031

NEW YORK, NY

Past

February 27, 2015 - March 23, 2015

LAKE CHAMPLAIN BROKERAGE SERVICES LLC

CRD#: 155962

NEW YORK, NY

Past

December 17, 2012 - January 28, 2014

INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83

BOCA RATON, FL

Past

December 15, 2010 - November 8, 2011

HABERMAN BROS.

CRD#: 2105

NEW YORK, NY

Past

January 7, 2010 - April 1, 2010

EMERALD INVESTMENTS, INC.

CRD#: 139511

NEW YORK, NY

Past

January 28, 2008 - April 5, 2010

TAVIRA SECURITIES US LLC

CRD#: 145046

MIAMI, FL

Past

May 24, 2005 - June 22, 2016

PIN FINANCIAL, LLC

CRD#: 132876

NEW YORK, NY

Past

June 10, 2004 - March 8, 2005

CHURCH STREET SECURITIES CORP.

CRD#: 29134

FREEPORT, NY

Past

December 19, 2003 - April 22, 2004

CHURCH STREET SECURITIES CORP.

CRD#: 29134

FREEPORT, NY

Past

June 19, 2002 - July 14, 2009

INSTITUTIONAL SERVICES UNLIMITED, INC.

CRD#: 29309

NEW YORK CITY, NY

Past

May 23, 2002 - October 17, 2019

LAKERIDGE CAPITAL INC.

CRD#: 25005

ONTARIO,

Past

June 8, 1998 - August 25, 1998

PARKER BROMLEY LTD.

CRD#: 39674

GARDEN CITY, NY

Past

August 25, 1997 - September 9, 1997

WIN CAPITAL CORP.

CRD#: 36172

BAYVILLE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/21/2020)

Exams

State Security Law Exam

Series 63

Date: 10/8/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/2/2023

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EMPIRE STATE FINANCIAL, INC.

EMPIRE STATE FINANCIAL, INC. | HAVKIT CORPORATION

CRD#: 5657 / SEC#: , 8-16309

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

20 W. Park Ave. Suite 207, Long Beach, NY 11561

Mailing Address

20 W. Park Ave. Suite 207, Long Beach, NY 11561

Phone number

(516) 442-1883

Established

New York since 01/11/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LION CAPITAL HOLDINGS, INC.	HOLDING COMPANY
BUSACCA, JOHN BRIAN III	DIRECTOR OF COMPLIANCE	2302780
BUSACCA, JOHN BRIAN III	CCO	2302780
GLASS, BRYAN SETH	PRESIDENT, CEO, DIRECTOR, COMPLIANCE OFFICER, SUPERVISORY PRINCIPAL	2834514
SIPKIN, JOSEPH GARY	FINOP	1334813

Red Flags

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Robert J. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert John Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRE INVESTMENT INC.

EMPIRE STATE FINANCIAL, INC.

STOEVER, GLASS & COMPANY INC.

LAKE CHAMPLAIN BROKERAGE SERVICES LLC

INTERCOASTAL CAPITAL MARKETS, INC.

HABERMAN BROS.

EMERALD INVESTMENTS, INC.

TAVIRA SECURITIES US LLC

PIN FINANCIAL, LLC

CHURCH STREET SECURITIES CORP.

CHURCH STREET SECURITIES CORP.

INSTITUTIONAL SERVICES UNLIMITED, INC.

LAKERIDGE CAPITAL INC.

PARKER BROMLEY LTD.

WIN CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/8/2004

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2005

Series 27

Date: 1/2/2023

Series 24

Date: 7/9/2007

FINRA

Current Firm

EMPIRE STATE FINANCIAL, INC.

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EMPIRE STATE FINANCIAL, INC.

TRUST BUT VERIFY

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