Ronald Mitchiner
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.
Ronald Mitchiner, who also goes by Ronald Glennis Mitchiner, Ronald Mitchiner, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2001. Ronald had worked at 10 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 26 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
April 29, 2021 - August 21, 2023
CHELSEA FINANCIAL SERVICES
December 9, 2014 - May 10, 2019
ALIGHT FINANCIAL ADVISORS, LLC
December 9, 2014 - May 10, 2019
ALIGHT FINANCIAL SOLUTIONS, LLC
December 8, 2011 - November 14, 2014
LPL FINANCIAL LLC
November 18, 2011 - November 14, 2014
LPL FINANCIAL LLC
March 23, 2011 - April 26, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2008 - August 25, 2009
RCH SECURITIES
July 16, 2007 - July 11, 2008
E*TRADE SECURITIES LLC
August 23, 2005 - September 20, 2006
TRUIST INVESTMENT SERVICES, INC.
July 20, 2005 - September 20, 2006
TRUIST INVESTMENT SERVICES, INC.
September 8, 2003 - June 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2001 - April 18, 2002
LADENBURG CAPITAL MANAGEMENT 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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