Scott W. 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.
Scott Wilson Mitchell was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1973. Scott had worked at 8 firms and has passed the Series 63, Series 7TO, SIE 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
July 9, 2007 - July 10, 2023
FIRST TRYON SECURITIES, LLC
July 1, 2003 - June 25, 2007
WELLS FARGO SECURITIES, LLC
February 27, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 30, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1998 - April 5, 1999
JACKSON SECURITIES LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 23, 1998 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 16, 1995 - November 19, 1997
RAUSCHER PIERCE REFSNES, INC.
May 9, 1973 - October 5, 1995
J.P. MORGAN SECURITIES LLC
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/7/1973
Registered Representative ExaminationCurrent Firm
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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