Jeffrey J. Mindlin
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.
Jeffrey Joel Mindlin, who also goes by Jeffrey Joel Mindcin, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2015 - July 7, 2017
CETERA INVESTMENT MANAGEMENT LLC
January 1, 2007 - October 30, 2015
FIRST ALLIED ASSET MANAGEMENT, INC.
November 20, 2006 - December 31, 2006
FIRST ALLIED ASSET MANAGEMENT, INC.
March 3, 2005 - October 24, 2008
GREENBOOK INVESTMENT MANAGEMENT, INC.
January 21, 2003 - April 28, 2005
PINNACLE INVESTMENT ADVISORS, LLC
September 28, 2000 - June 4, 2001
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CETERA INVESTMENT MANAGEMENT LLC
CRD#: 165436 / SEC#: 801-77403
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 MANAGEMENT LLC
CRD#: 165436 / SEC#: 801-77403
Contact information
SEC notice filing (2 States and Territories)
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.
