Elliott H. Mittler
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.
Elliott Howard Mittler, who also goes by Elliott H Mittler, was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1968. Elliott had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 16, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2022 - October 16, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 28, 2017 - December 9, 2022
CANTELLA & CO., INC.
October 5, 2001 - August 2, 2017
NORTHEAST SECURITIES, LLC
March 1, 1991 - October 9, 2001
HAPOALIM SECURITIES USA, INC.
June 23, 1989 - February 20, 1991
WESTMINSTER SECURITIES CORPORATION
August 12, 1987 - February 20, 1991
TIJA MANAGEMENT, INC.
October 14, 1986 - June 7, 1989
WILLIAM M. CADDEN & CO., INC.
October 26, 1979 - September 25, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
May 24, 1976 - November 5, 1979
KINGSLEY, BOYE & SOUTHWOOD, INC.
September 19, 1975 - June 25, 1976
SHEARSON HAYDEN STONE INC.
May 16, 1975 - October 21, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 25, 1968 - May 9, 1975
SHEARSON HAYDEN STONE 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 1/19/1968
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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