Sharon L. Mitsopoulos
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.
Sharon L Mitsopoulos, who also goes by Sharon Elizabeth Len, Sharon Len, Sharon Mitsopoulos, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 2006. Sharon had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2010 - September 23, 2014
MARINER
August 8, 2007 - October 3, 2014
NEW ENGLAND SECURITIES
December 4, 2006 - October 3, 2014
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
MARINER
CRD#: 151664 / SEC#: 801-71691
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
MARINER
CRD#: 151664 / SEC#: 801-71691
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,559 |
| AUM (Assets Under Management) | $ 2,352,770,746 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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