Mitchell S Flax
Professional Summary
Mitchell S Flax, who also goes by Mitch Flax, Mitchell Saul Flax, is a registered financial advisor currently at NET EQUITY CAPITAL located in Austin, Texas and FINALIS SECURITIES LLC located in New York, New York. Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mitchell has worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mitch Flax, Mitchell Saul Flax
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
NET EQUITY CAPITAL | NET EQUITY CAPITAL, LLC
Contact Information
Main Address
1401 Lavaca St #834, Austin, TX 78701Phone Number
(512) 354-1563# of Employees
2Documents
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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.
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State Registrations and Notice Filings
(8/29/2024)
(8/29/2024)
(1/3/2022)
(5/17/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
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) - RIA
Click below to view Mitchell S Flax's CRS (Customer Relationship Summary).
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