Mitchell Lee Emerson
Professional Summary
Mitchell Lee Emerson, who also goes by Mitchell Emerson, was a registered financial advisor. Mitchell was a previously registered financial professional and started their career in finance 2010 - 2016. Mitchell had worked at 3 firms and has passed the SIE, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mitchell Emerson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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
15 years in the financial services industry
Current & Past Employments
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Current Firm
CTC L.L.C. | CTC, LLC
Contact Information
Main Address
425 S. Financial Place 4th Floor, Chicago, IL 60605Mailing Address
425 S. Financial Place 4th Floor, Chicago, IL 60605Phone Number
(312) 863-8000Established
Illinois since 01/02/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2011Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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