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Mitchell Babendir

CRD# 7011793·Registered 2018 - 2019
Previously Registered: Being a previously registered professional could mean that Mitchell 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.

Professional Summary

Mitchell Babendir was a registered financial advisor. Mitchell was a previously registered financial professional and started their career in finance 2018 - 2019. Mitchell had worked at 1 firm and has passed the SIE and Series 57 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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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.

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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Years of Experience

7 years in the financial services industry

Current & Past Employments

VOLANT LIQUIDITY, LLC·CRD# 150063
BD
New York, NY
December 5, 2018 - October 21, 2019

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Current Firm

VL
VOLANT LIQUIDITY, LLC

VOLANT LIQUIDITY, LLC

CRD#: 150063 / SEC#: 8-68211
BD
Terminated by SEC on 10/01/2023

Contact Information

Established

Delaware since 02/27/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
VOLANT HOLDING, LLCMEMBER—
DONNELLY, BRIAN PATRICKMANAGING MEMBER4906429
EDWARDS, JOHN WILLIAM JR.FINOP1757360
EDWARDS, JOHN WILLIAM JR.CFO1757360
SHIN, WILBERT DONGYOONCOO/CCO2118700

Disclosures

Regulatory Event

12

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Dec 2018About the SIE exam

Series 57 — Securities Trader Exam

Passed Dec 2018About the Series 57 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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