Austin F. Mitchel
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.
Austin Francis Mitchel JR, who also goes by Austin F Mitchel, Austin Francis Mitchel, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 1971. Austin had worked at 11 firms and has passed the Series 63, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2002 - June 28, 2002
HERZOG, HEINE, GEDULD, LLC
February 1, 2002 - June 28, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 1999 - January 30, 2002
HERZOG, HEINE, GEDULD, LLC
November 1, 1996 - September 17, 1998
NATIONAL FINANCIAL SERVICES LLC
February 8, 1995 - September 3, 1996
PERSHING ADVISOR SOLUTIONS LLC
May 14, 1990 - December 31, 1994
NASH, WEISS & CO.
July 12, 1989 - May 8, 1990
DEUTSCHE IXE, LLC
May 15, 1989 - July 11, 1989
HUDSON SECURITIES,INC.
May 24, 1988 - April 24, 1989
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 9, 1987 - May 24, 1988
TROSTER SINGER CORPORATION
August 26, 1985 - June 24, 1987
DEUTSCHE IXE, LLC
November 20, 1984 - August 19, 1985
ENGLANDER CAPITAL CORP.
December 26, 1978 - October 18, 1984
HERZOG, HEINE, GEDULD, LLC
November 8, 1971 - November 2, 1978
M. S. WIEN & CO., 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
Series 55
Date: 6/26/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 11/3/1971
Registered Representative ExaminationCurrent Firm
HERZOG, HEINE, GEDULD, LLC
CRD#: 2186 / SEC#: , 8-10463
Contact information
Documents
Disclosures
| Regulatory Event | 51 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
