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Mitchell Lawrence Stein

ARENA PRIVATE WEALTH
Pepper Pike, OH
·CRD# 4928458·21 years experience

Professional Summary

Mitchell Lawrence Stein is a registered financial advisor currently at ARENA PRIVATE WEALTH located in Pepper Pike, Ohio. Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Mitchell has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

21 years in the financial services industry

Current & Past Employments

ARENA PRIVATE WEALTH·CRD# 332302
RIA
Pepper Pike, OH
October 24, 2024 - Present
MUTUAL SECURITIES, INC.·CRD# 13092
BD
Pepper Pike, OH
March 4, 2019 - November 14, 2024
OBJECTIVE CAPITAL MANAGEMENT, LLC·CRD# 156013
RIA
Fairlawn, OH
March 1, 2019 - December 31, 2025
FIFTH THIRD SECURITIES, INC.·CRD# 628
RIA
Cleveland, OH
January 8, 2010 - March 8, 2019
FIFTH THIRD SECURITIES, INC.·CRD# 628
BD
Cleveland, OH
January 8, 2010 - March 8, 2019
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
RIA
Chicago, IL
September 27, 2007 - January 20, 2010
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
Chicago, IL
September 27, 2007 - January 20, 2010
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Chicago, IL
August 12, 2005 - September 12, 2007
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
July 21, 2005 - July 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Chicago, IL
July 21, 2005 - September 12, 2007

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Current Firm

AP
ARENA PRIVATE WEALTH

ARENA ALTERNATIVES GROUP | OCMPW | OCM PRIVATE WEALTH, LLC | ARENA PRIVATE WEALTH

CRD#: 332302 / SEC#: 801-131099
RIA
Registered Investment Advisory firm - SEC (9/13/2024 Approved)

Contact Information

Main Address

401 N. Michigan Avenue Suite 610, Chicago, IL 60611-5584

Phone Number

(312) 798-9045

# of Employees

8

SEC notice filing (11 States and Territories)

Registered to provide investment advisory services in 11 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OCMPW ADV PART 2A 7.30.26 (7/30/2026)

Regulatory Assets Under Management

Total Number of Accounts

613

AUM (Assets Under Management)

$404,708,163

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2026Cover PageReport

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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.

1. Objective Capital Management, LLC., Start Date: 03/01/2019, 29325 Chagrin Blvd, Ste 204, Pepper Pike, OH 44122, LLC, RIA, President, President/Partner of OCM RIA Firm, Investment Related, 200 hours per month, 7 hours per day during trading hours. 2. Rental Property, Start Date: 05/01/2014, 2743 N Sheffield Ave, #4N, Chicago, IL 60614, Rental Property - Residential, Property Owner, Manage/Maintain the condo unit for my renters, Not Investment Related, 1 hour per month, 0 hours per day during trading hours. 3. University School - Board of Trustees, Start Date: 09/01/2019, 2785 Som Center Rd., Hunting Valley, OH 44022, Elementary & High School, Trustee, Serve on committees, oversee school governance, and help with long term strategic planning, Not Investment Related, 3 Hours per month, 0 Hours per day during trading hours. 4. Cleveland Clinic Childrens Hospital, Start Date: 07/01/2021, 9500 Euclid Ave., Cleveland, OH 44195, Non-Profit, Hospital System, Leadership Council, Plan annual golf outing, help with fundraising and attractive new donors, general advocacy, Not Investment Related, 3 Hours per month, 0 Hours per day during trading hours. 5. Saint Martin De Porres High School, Start Date: 11/01/2020, 6202 St Clair Ave, Cleveland, OH 44103, Non-profit, High School, Advancement Committee - Fundraising, Help plan fundraising events, introduce new potential donors to the school, outreach to current and past donors, Not Investment Related, 2 Hours per month, 0 Hours per day during trading hours.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AP
ARENA PRIVATE WEALTH

ARENA ALTERNATIVES GROUP | OCMPW | OCM PRIVATE WEALTH, LLC | ARENA PRIVATE WEALTH

CRD#: 332302 / SEC#: 801-131099
RIA
Registered Investment Advisory firm - SEC (9/13/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
IAR
Florida
(1/29/2025)
IAR
Illinois
(10/25/2024)
IAR
Ohio
(10/24/2024)
IAR
Texas
(2/5/2025)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Aug 2005About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2005About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Lawrence Stein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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