Brian D. Mitts
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.
Brian Dale Mitts was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2012. Brian had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2026 - June 4, 2026
AHC SECURITIES LLC
July 14, 2014 - March 2, 2018
NEXBANK SECURITIES INC
November 20, 2013 - May 13, 2025
NEXPOINT SECURITIES, INC.
August 2, 2012 - December 31, 2013
NEXBANK SECURITIES INC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/25/2013
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AHC SECURITIES LLC
CRD#: 335829 / SEC#: , 8-71369
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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