Mitchell B. Baruchowitz
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.
Mitchell Bryan Baruchowitz, who also goes by Mitchell B Baruchowitz, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 2005. Mitchell had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2014 - October 9, 2019
CAVU SECURITIES LLC
March 9, 2011 - December 26, 2013
ACGM, INC.
October 4, 2007 - May 26, 2010
PALI CAPITAL, INC.
June 15, 2005 - February 21, 2007
MARKETAXESS CORPORATION
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
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
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.
