Mitchell Brater
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 Brater was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1970. Mitchell had worked at 8 firms and has passed the Series 63, Series 7, Series 1 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
March 1, 1986 - February 6, 1991
ETON SECURITIES CORP.
March 19, 1985 - June 17, 1986
CORNWALL SECURITIES, INC.
December 11, 1984 - April 23, 1985
INVESTACORP, INC.
June 22, 1984 - December 18, 1984
CORNWALL SECURITIES, INC.
December 22, 1981 - December 28, 1982
CONTISECURITIES, INC.
May 1, 1975 - November 1, 1975
CIBC WORLD MARKETS CORP.
June 13, 1972 - June 15, 1972
STERLING, GRACE & CO., INCORPORATED
January 3, 1972 - June 15, 1972
GRAYSON, BURGER & CO.
May 21, 1970 - January 21, 1972
SUTRO BROS. & CO.
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 1
Date: 1/21/1966
Registered Representative ExaminationCurrent Firm
ETON SECURITIES CORP.
CRD#: 17049 / SEC#: , 8-34968
Contact information
Documents
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.
