Mark A. Mittmann
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.
Mark August Mittmann, who also goes by Mark A Mittmann, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2006. Mark had worked at 4 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2016 - August 8, 2016
BUTTONWOOD TREE MANAGEMENT, LLC
December 4, 2015 - July 26, 2016
STANDARD INVESTMENT CHARTERED INCORPORATED
November 12, 2015 - July 26, 2016
STANDARD INVESTMENT CHARTERED INCORPORATED
December 1, 2006 - November 21, 2014
CANTERBURY CONSULTING INCORPORATED
November 27, 2006 - December 13, 2013
CANTERBURY CONSULTING INCORPORATED
February 27, 2006 - June 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2006 - June 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BUTTONWOOD TREE MANAGEMENT, LLC
CRD#: 165821 / SEC#:
Contact information
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.
