Mitchell Tanner Carter
Professional Summary
Mitchell Tanner Carter, who also goes by Mitchell Tanner Carter, was a registered financial advisor. Mitchell was a previously registered financial professional and started their career in finance 2015 - 2024. Mitchell had worked at 3 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mitchell Tanner Carter
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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.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
HOULIHAN LOKEY ADVISORY, INC. | TRIAGO X, INC. | TRIAGO X | TRIAGO AMERICAS, INC. | TRIAGO
Contact Information
Established
Delaware since 10/19/2006Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRIAGO MANAGEMENT DEVELOPMENT SARL | SHAREHOLDER | — |
| ADELSON, SCOTT JOSEPH | DIRECTOR | 2147111 |
| ALLEY, JAMES LINDSEY | DIRECTOR | 2394515 |
| CRAIN, CHRISTOPHER MADISON | DIRECTOR | 4870370 |
| QUIROGA, VICTOR EDUARDO | CCO, EXEC. REP, AML SUPER. | 4841312 |
| SWAIN, MATTHEW JOSEPH | PRESIDENT | 6826025 |
| TANIGUCHI, EDWARD NEAL | FINOP | 4632869 |
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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.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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