Maura E. Mitchell
Professional summary
Maura Ellen Mitchell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maura is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Maura had worked at 3 firms, which includes KOVACK SECURITIES INC., INVESTACORP INC., VALIC FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2006 - October 29, 2007
KOVACK SECURITIES INC.
November 28, 2005 - March 27, 2006
INVESTACORP, INC.
August 5, 2004 - December 19, 2005
VALIC FINANCIAL ADVISORS, INC.
February 24, 2004 - December 19, 2005
VALIC FINANCIAL ADVISORS, 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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
