Mitchell M. Schaffer
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.
Mitchell Marc Schaffer was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 2013. Mitchell had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - May 4, 2016
KATALYST SECURITIES LLC
June 19, 2013 - October 6, 2015
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KATALYST SECURITIES LLC
CRD#: 112494 / SEC#: , 8-53260
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES OPERATIONS SPECIALISTS INC. | SHAREHOLDER | |
| KEMPISTY, PHILIP CHARLES | CHIEF COMPLIANCE OFFICER | 1279668 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
