Neal A. Mitra
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.
Neal Anjan Mitra was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 2011. Neal had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 79, Series 27 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
August 28, 2018 - October 9, 2018
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
September 12, 2012 - December 31, 2012
WHITEWOOD GROUP FINANCIAL ADVISORS, LLC
July 25, 2011 - August 16, 2016
MM GLOBAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
CRD#: 154559 / SEC#: , 8-68648
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
