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SM

Samuel A. Mitchell

BA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 7111996
SM

Professional summary

Samuel Alexander Mitchell, who also goes by Samuel Mitchell, is a registered financial professional currently at BA SECURITIES, LLC located in New York, New York.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2019. Samuel has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samuel Mitchell

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samuel Alexander Mitchell'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

December 21, 2023 - Present

BA SECURITIES, LLC

Office #1: 300 Park Avenue 5th Floor, New York, NY, 10022
BD
CRD#: 153489
New York, NY
Past

May 18, 2023 - December 21, 2023

CRITO CAPITAL LLC

BD
CRD#: 161724
WESTPORT, CT
Past

July 10, 2019 - October 18, 2021

ARTIST CAPITAL LLC

BD
CRD#: 153937
NEW YORK, NY

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
California
(3/4/2024)
RR
Connecticut
(3/1/2024)
RR
District of Columbia
(3/6/2024)
RR
Florida
(3/1/2024)
RR
Georgia
(3/4/2024)
RR
Illinois
(3/6/2024)
RR
Indiana
(3/1/2024)
RR
Maine
(3/1/2024)
RR
Massachusetts
(3/4/2024)
RR
Minnesota
(3/1/2024)
RR
New Hampshire
(3/6/2024)
RR
New Jersey
(1/8/2024)
RR
New York
(1/7/2024)
RR
North Carolina
(3/4/2024)
RR
Ohio
(3/1/2024)
RR
Pennsylvania
(12/22/2023)
RR
Rhode Island
(3/7/2024)
RR
South Carolina
(3/1/2024)
RR
Texas
(3/4/2024)
RR
Vermont
(3/1/2024)
RR
Virginia
(3/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/10/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BA HOLDCO, LLCOWNER
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRESIDENT1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDCHIEF OPERATIONS OFFICER & AML OFFICER4221461

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.

Company Information

BA SECURITIES, LLC

CRD#: 153489New York, NY 10022

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