Todd J. Mitty
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.
Todd Jay Mitty was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2001. Todd had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 3, 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
August 23, 2016 - September 19, 2022
LIONTREE ADVISORS LLC
June 2, 2010 - May 8, 2015
CREDIT SUISSE SECURITIES (USA) LLC
November 30, 2009 - June 1, 2010
BANC OF AMERICA SECURITIES LLC
May 11, 2005 - September 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2001 - March 14, 2005
MORGAN STANLEY & CO. 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 55
Date: 12/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
LIONTREE ADVISORS LLC
CRD#: 164399 / SEC#: , 8-69097
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
Red Flags
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