Mitchell A. Kessler
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 Abel Kessler, who also goes by Mitch Kessler, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1999. Mitchell had worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE 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
August 2, 2019 - January 26, 2023
MARCO POLO SECURITIES INC.
August 17, 2016 - May 26, 2017
UBS FINANCIAL SERVICES INC.
August 16, 2016 - May 26, 2017
UBS FINANCIAL SERVICES INC.
August 22, 2014 - December 31, 2014
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
April 9, 2013 - December 31, 2014
J.P. TURNER & COMPANY, L.L.C.
January 17, 2001 - February 7, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 4, 1999 - August 27, 1999
STERNE, AGEE & LEACH, 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
MARCO POLO SECURITIES INC.
CRD#: 46561 / SEC#: , 8-51480
Contact information
FINRA licenses (35 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.
