Charles A. Mitchell
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.
Charles Archie Mitchell was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 5 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - January 27, 2015
MHA FINANCIAL CORP
March 3, 2011 - January 4, 2012
PEARSON FINANCIAL SERVICES
January 28, 2004 - July 27, 2011
MITCHELL FINANCIAL CORPORATION
October 25, 1994 - October 24, 2006
PACVEST ASSOCIATES, INC.
August 22, 1977 - August 17, 1994
MHA FINANCIAL CORP
January 20, 1970 - September 13, 1977
TOWER SQUARE SECURITIES, 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 1
Date: 6/24/1966
Registered Representative ExaminationSeries 40
Date: 1/20/1970
Registered Principal ExaminationCurrent Firm
MHA FINANCIAL CORP
CRD#: 7462 / SEC#: , 8-21836
Contact information
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 85,836,784 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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