Mitchell Daniel Cepler
Professional Summary
Mitchell Daniel Cepler is a registered financial advisor currently at CNR SECURITIES, LLC located in New York, New York. Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2011. Mitchell has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
CNR SECURITIES LLC | ROCHDALE INVESTMENT MANAGEMENT INC. | RIM SECURITIES LLC | CNR SECURITIES, LLC
Contact Information
Main Address
400 Park Avenue 3rd Floor, New York, NY 10022Mailing Address
400 Park Avenue 3rd Floor, New York, NY 10022Phone Number
(212) 702-3500Established
Delaware since 10/11/2001Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | — |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CHIEF EXECUTIVE OFFICER, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mitchell Daniel Cepler's CRS (Customer Relationship Summary).
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