Mitchell L. Sands

CATALYST PRIVATE WEALTH

WALNUT CREEK, CA 94597

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CRD#: 6387248

Professional summary

Mitchell Lawrence Sands is a registered financial advisor currently at CATALYST PRIVATE WEALTH, LLC located in Walnut Creek, California and EMERSON EQUITY LLC located in Walnut Creek, California.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Mitchell has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. U STADIUM, START DATE: 07/01/2016, NEW YORK, NEW YORK, CORPORATION, SPORTS TECH STARTUP, ANGEL INVESTOR, NETWORK CONNECTION, VENTURE ADVISE,2 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 2. EMERSON EQUITY LLC; INVESTMENT RELATED; SAN MATEO, CA; BROKER-DEALER, REGISTERED REPRESENTATIVE; START 10/1/19; MULTIPLE HOURS MONTHLY DURING TRADING HOURS AS IT RELATES TO RIA BUSINESS. 4.CATALYST PRIVATE WEALTH-INESTMENT RELATED; 3 EAST THIRD AVE., STE 323, SAN MATEO, CA 94401-CATALYST IS AN RIA-PARTNER/FOUNDER-50 HRS A WEEK IS DEVOTED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Lawrence Sands's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 1, 2019 - Present

CATALYST PRIVATE WEALTH, LLC

Office #1: 1255 Treat Blvd., Office 372, Walnut Creek, CA 94597

RIA

CRD#: 305565

WALNUT CREEK, CA

Current

September 23, 2019 - Present

EMERSON EQUITY LLC

Office #1: 1255 Treat Blvd. Suite 300, Walnut Creek, CA 94597

RIA

CRD#: 130032

Walnut Creek, CA

Past

September 18, 2019 - September 12, 2022

EMERSON EQUITY LLC

RIA

CRD#: 130032

San Mateo, CA

Past

January 8, 2018 - September 30, 2019

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

San Francisco, CA

Past

August 21, 2014 - April 4, 2018

CLEARPATH CAPITAL PARTNERS LLC

RIA

CRD#: 111756

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CATALYST PRIVATE WEALTH, LLC

CRD#: 305565 / SEC#: 801-117383

RIA

Registered Investment Advisory firm - (9/20/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(9/9/2021)

California
(9/30/2019)

IAR

California
(10/1/2019)

Colorado
(3/2/2021)

Florida
(10/12/2020)

Illinois
(7/23/2021)

Massachusetts
(7/14/2020)

Michigan
(3/11/2021)

Nebraska
(8/20/2021)

Nevada
(1/8/2020)

New Jersey
(2/10/2021)

New York
(6/3/2020)

North Carolina
(3/27/2021)

Oregon
(3/30/2021)

South Dakota
(11/29/2021)

Texas
(6/30/2020)

Utah
(12/9/2019)

Washington
(2/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/28/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/23/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/21/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/12/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CATALYST PRIVATE WEALTH, LLC

CRD#: 305565 / SEC#: 801-117383

RIA

Registered Investment Advisory firm - (9/20/2019 Approved)

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Contact information

Main Address

3 East Third Ave. Office 323, San Mateo, CA 94401

Mailing Address

Phone number

(415) 887-1430

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATALYST PRIVATE WEALTH DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	487
AUM (Assets Under Management)	$ 330,573,403

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.

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Firm Stability Insights

Mitchell L. Sands

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Lawrence Sands's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

EMERSON EQUITY LLC

MUTUAL ADVISORS, LLC

CLEARPATH CAPITAL PARTNERS LLC

Primary Firm SEC Registration

CATALYST PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/2019

Series 65

Date: 8/23/2013

Series 7TO

Date: 9/21/2019

SIE

Date: 8/12/2019

FINRA

Current Firm

CATALYST PRIVATE WEALTH, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATALYST PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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