Peter C. Mitchell
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.
Peter Clark Mitchell was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2004. Peter had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 82 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2015 - August 6, 2021
SEPULVEDA DISTRIBUTORS LLC
November 8, 2013 - April 28, 2015
THORNBURG SECURITIES LLC
May 23, 2012 - April 28, 2015
THORNBURG INVESTMENT MANAGEMENT INC
September 29, 2010 - January 12, 2012
MSF CAPITAL, LLC
April 27, 2006 - July 29, 2010
SNOW CAPITAL MANAGEMENT, L.P.
July 30, 2004 - October 13, 2005
GREGORY J. SCHWARTZ & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEPULVEDA DISTRIBUTORS LLC
CRD#: 166535 / SEC#: , 8-69221
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
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.
