Charles A. Mitchell
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.
Charles Allan Mitchell was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1981. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 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
April 4, 2013 - December 31, 2014
L.M. KOHN & COMPANY
January 14, 2010 - December 2, 2011
GWN SECURITIES INC.
November 7, 2006 - December 31, 2009
MEDALLION ADVISORY SERVICES, LLC
November 3, 2006 - December 31, 2009
MEDALLION INVESTMENT SERVICES, INC.
August 20, 2003 - November 9, 2006
EQUITABLE ADVISORS, LLC
June 19, 2003 - November 9, 2006
EQUITABLE ADVISORS, LLC
October 3, 1994 - May 7, 2003
FIFTH THIRD SECURITIES, INC.
July 31, 1993 - October 14, 1994
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 13, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
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
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
