Bushrod D. Mimms
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.
Bushrod D Mimms, who also goes by Rod Mimms, was a registered financial professional .
Bushrod is a previously registered financial professional and started their career in finance in 2005. Bushrod had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2017 - August 7, 2018
ARIVE CAPITAL MARKETS
July 24, 2015 - October 6, 2015
ROCKWELL GLOBAL CAPITAL LLC
October 23, 2014 - July 27, 2015
CAPE SECURITIES INC.
June 9, 2014 - October 30, 2014
SECURITIES AMERICA, INC.
September 20, 2012 - June 19, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
August 31, 2010 - September 26, 2012
CAPE SECURITIES INC.
March 24, 2010 - August 30, 2010
PHD CAPITAL
September 20, 2007 - March 24, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
July 17, 2006 - September 18, 2007
NEWBRIDGE SECURITIES CORPORATION
November 15, 2005 - July 13, 2006
CAPITAL SECURITIES OF AMERICA, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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