Mitchell C. Curtis
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 Cole Curtis, who also goes by Mitchell Curtis, Cole Curtis, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 2018. Mitchell had worked at 5 firms and has passed the Series 66, 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
January 12, 2022 - April 3, 2023
CUTTER & COMPANY, INC.
January 10, 2022 - April 3, 2023
CUTTER & COMPANY, INC.
January 30, 2020 - July 20, 2020
PRESIDIO CAPITAL MANAGEMENT, LLC
July 22, 2019 - July 23, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
July 22, 2019 - July 23, 2020
FIRST ALLIED SECURITIES, INC.
October 27, 2018 - January 14, 2019
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
