Brad J. 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.
Brad Jason Mitchell, who also goes by Brad Jason Mitchel, was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1999. Brad had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2005 - January 10, 2006
EMMETT A LARKIN COMPANY, INC.
August 29, 2005 - November 14, 2005
SALOMON GREY FINANCIAL CORPORATION
October 22, 2004 - August 24, 2005
AMERICAN CAPITAL PARTNERS, LLC
June 13, 2003 - November 18, 2004
J.P. TURNER & COMPANY, L.L.C.
May 29, 2002 - July 11, 2003
JOSEPH STEVENS & CO., INC.
March 21, 2002 - May 23, 2002
W.A. CAPITAL MARKETS
September 6, 2001 - March 28, 2002
JOSEPH STEVENS & CO., INC.
March 15, 2001 - September 28, 2001
WEATHERLY SECURITIES CORPORATION
October 2, 2000 - February 28, 2001
LADENBURG CAPITAL MANAGEMENT INC.
October 5, 1999 - October 9, 2000
TASIN & COMPANY, 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
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
