AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RM

Richard D. Mittasch

Some features on this profile are disabled
CRD#: 4587001
RM

Professional summary

Richard David Mittasch was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Richard had worked at 10 firms, which includes CALDWELL INTERNATIONAL SECURITIES, MAXIMUM FINANCIAL INVESTMENT GROUP INC., FIRST MIDWEST SECURITIES INC., ITRADEDIRECT.COM CORP, GREAT EASTERN SECURITIES INC., EKN FINANCIAL SERVICES INC., CHICAGO INVESTMENT GROUP LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 4, 2009 - November 23, 2009

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
NASSAU,
Past

July 13, 2007 - September 30, 2008

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 40096
HICKSVILLE, NY
Past

April 9, 2007 - July 12, 2007

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
WESTBURY, NY
Past

November 16, 2006 - March 19, 2007

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
HAUPPAUGE, NY
Past

January 31, 2006 - November 17, 2006

MAXIMUM FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 40096
SOUTHFIELD, MI
Past

December 6, 2005 - May 19, 2006

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

February 22, 2005 - January 4, 2006

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
LOS ANGELES, CA
Past

February 10, 2004 - March 1, 2005

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

November 14, 2002 - December 5, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 14, 2002 - December 5, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

November 1, 2002 - November 20, 2002

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2003
General Securities Principal Examination

Current Firm

CI
CALDWELL INTERNATIONAL SECURITIES
ADAMS WEALTH MANAGEMENT | CALDWELL INTERNATIONAL SECURITIES CORPORATION | CALDWELL INTERNATIONAL SECURITIES | BRENNAN AND ASSOCIATES, INC.

CRD#: 104323 / SEC#: , 8-52771

BD
Cancelled by SEC on 09/28/2017
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Fischer, TX
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JACOBS, PAUL JOSEPHCCO, FINOP4658235

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

TRUST BUT VERIFY

Monitor Richard Mittasch

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.