Mitchell B. Germain

CITIZENS JMP SECURITIES

New York, NY 10019

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CRD#: 4832402

Professional summary

Mitchell Bradley Germain is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.

Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2004. Mitchell has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Mitchell Bradley Germain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 3, 2022 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY 10019

CRD#: 22208

New York, NY

Past

July 31, 2009 - February 11, 2020

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

NEW YORK, NY

Past

April 9, 2007 - April 22, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 10, 2006 - March 23, 2007

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

September 13, 2004 - April 12, 2006

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/3/2022)

Exams

State Security Law Exam

Series 63

Date: 9/28/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 1/25/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 10/29/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/10/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CITIZENS JMP SECURITIES, LLC

CRD#: 22208 / SEC#: , 8-39613

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

101 California Street Ste 1700, San Francisco, CA 94111

Mailing Address

101 California Street Ste 1700, San Francisco, CA 94111

Phone number

(415) 835-8900

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JMP HOLDING LLC	PARENT COMPANY
CONROY, WALTER IVOR	GENERAL COUNSEL	6641487
GREGORY, JOHN	PRESIDENT	4600619
JACKSON, RAYMOND SIVA	CHIEF FINANCIAL OFFICER	5563363
MANNING, SIMON STONE	SENIOR REGISTERED OPTIONS PRINCIPAL (SROP)	1941279
MCLAUGHLIN, BRENDAN	CHIEF COMPLIANCE OFFICER	2562815
O'DAY, JAMES CORTLAND	HEAD OF EQUITIES	5618215
SLADER, GAVIN WILLEY	HEAD OF INVESTMENT BANKING	4130019
SPURR, JEFFREY HOLMES	HEAD OF RESEARCH	1384716
SUCHY, GREGORY JOHN	CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER	5907019
WHITEHEAD, AIDAN PETER	HEAD OF TRADING & SALES TRADING	2474257
XIAO, ZHUO VIVIAN XUAN	FINOP	5121578

Disclosures

Regulatory Event

Red Flags

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Mitchell B. Germain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Bradley Germain's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS JMP SECURITIES, LLC

BANC OF AMERICA SECURITIES LLC

RBC CAPITAL MARKETS CORPORATION

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/2004

SIE

Date: 10/1/2018

Series 86

Date: 1/25/2005

Series 87

Date: 10/29/2004

Series 7

Date: 9/10/2004

FINRA

Nasdaq Stock Market

Current Firm

CITIZENS JMP SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CITIZENS JMP SECURITIES, LLC

TRUST BUT VERIFY

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