SM
Sergio A. Mitre
KRAKEN SECURITIES
FORT LAUDERDALE, FL 33301-2299
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CRD#: 6356196
SM
Professional summary
Sergio Alberto Mitre, who also goes by Sergio Alberto Mitre Felix, Sergio Alberto Mitre-felix, is a registered financial professional currently at KRAKEN SECURITIES located in Fort Lauderdale, Florida.
Sergio is registered as a RR (Registered Representative) and started their career in finance in 2015. Sergio has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sergio Alberto Mitre Felix | Sergio Alberto Mitre-Felix
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.
CRS (Client Relationship Summary) - BD
Click below to view Sergio Alberto Mitre's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 4, 2025 - Present
KRAKEN SECURITIES
Office #1: 200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301-2299BD
CRD#: 324343
FORT LAUDERDALE, FL
Past
June 25, 2021 - September 1, 2023
CASH APP INVESTING LLC
BD
CRD#: 144076
PORTLAND, OR
Past
February 19, 2015 - June 28, 2021
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SANDY, UT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/7/2025)
RR
Alaska(4/8/2025)
RR
Arizona(4/28/2025)
RR
Arkansas(5/5/2025)
RR
California(4/4/2025)
RR
Colorado(4/8/2025)
RR
Connecticut(4/4/2025)
RR
Delaware(4/12/2025)
RR
District of Columbia(4/10/2025)
RR
Florida(4/7/2025)
RR
Georgia(4/7/2025)
RR
Hawaii(5/8/2025)
RR
Idaho(4/4/2025)
RR
Illinois(5/12/2025)
RR
Indiana(4/9/2025)
RR
Iowa(4/7/2025)
RR
Kansas(4/4/2025)
RR
Kentucky(4/7/2025)
RR
Louisiana(4/8/2025)
RR
Maine(4/7/2025)
RR
Maryland(4/10/2025)
RR
Massachusetts(4/7/2025)
RR
Michigan(4/8/2025)
RR
Minnesota(4/7/2025)
RR
Mississippi(4/17/2025)
RR
Missouri(4/4/2025)
RR
Montana(4/29/2025)
RR
Nebraska(4/4/2025)
RR
Nevada(4/8/2025)
RR
New Hampshire(4/8/2025)
RR
New Jersey(4/8/2025)
RR
New Mexico(4/8/2025)
RR
New York(4/15/2025)
RR
North Carolina(4/11/2025)
RR
North Dakota(4/14/2025)
RR
Ohio(4/7/2025)
RR
Oklahoma(4/8/2025)
RR
Oregon(4/10/2025)
RR
Pennsylvania(4/7/2025)
RR
Puerto Rico(4/14/2025)
RR
Rhode Island(4/8/2025)
RR
South Carolina(4/8/2025)
RR
South Dakota(4/9/2025)
RR
Tennessee(4/29/2025)
RR
Texas(4/26/2025)
RR
Utah(4/7/2025)
RR
Vermont(4/8/2025)
RR
Virgin Islands(4/29/2025)
RR
Virginia(4/8/2025)
RR
Washington(4/8/2025)
RR
West Virginia(4/9/2025)
RR
Wisconsin(4/9/2025)
RR
Wyoming(4/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 4/4/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KS
KRAKEN SECURITIES
KRAKEN SECURITIES | PAYWARD EQUITIES LLC | KRAKEN SECURITIES LLC
CRD#: 324343 / SEC#: , 8-71030
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301-2299
Mailing Address
200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301-2299
Phone number
(888) 837-8818
Established
Delaware since 11/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KRAKEN SECURITIES
CRD#: 324343Fort Lauderdale, FL 33301-2299TRUST BUT VERIFY
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