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Patrick K. Mitchell

Some features on this profile are disabled
CRD#: 5181387
PM

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.

Patrick K Mitchell was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2007. Patrick had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 20, 2010 - March 20, 2014

FOCUSPOINT PRIVATE CAPITAL GROUP

BD
CRD#: 122341
NEW YORK, NY
Past

September 22, 2008 - November 5, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

September 12, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2007
General Securities Representative Examination

Current Firm

FP
FOCUSPOINT PRIVATE CAPITAL GROUP
FOCUSPOINT PRIVATE CAPITAL GROUP | LIBERTY PACIFIC SECURITIES, LLC | G2 SECURITIES, LLC | FPCG, LLC | FORBES PRIVATE CAPITAL GROUP

CRD#: 122341 / SEC#: , 8-65488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019
Mailing Address
712 Fifth Avenue 8th Floor, Suite 008a, New York, NY 10019
Phone number
(212) 887-1137
Established
Washington since 04/16/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FPCG HOLDING SPV, LLCMEMBER
CHIN, PHYLLIS NYUK FAHFINOP, PFO, POO6250921
CONROD, DAVID LUCASPRINCIPAL; PRESIDENT (09/2010)2400517
MATTIELLI, LOUIS DOMENICCHIEF COMPLIANCE OFFICER1074096

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.

Company Information

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341

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